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ISO HANDBOOK Second edition 2018‐11
The Integrated Use of Management System Standards (IUMSS)
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The Integrated Use of Management System Standards (IUMSS)
COPYRIGHT PROTECTED DOCUMENT © ISO 2018 All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of the requester. ISO copyright office CP 401 • Ch. de Blandonnet 8 CH‐1214 Vernier, Geneva Phone: +41 22 749 01 11 Fax: +41 22 749 09 47 Email: [email protected] Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) Website: www.iso.org Published in Switzerland
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Contents
Page
Foreword...........................................................................................................................................................................5 Introduction .....................................................................................................................................................................6 Chapter 1: Management system................................................................................................................................9 1.1 Management system features .......................................................................................................................................... 9 1.2 Organizational context, risks and opportunities .................................................................................................. 12 1.3 Components of a Management System ..................................................................................................................... 16 1.3.1 Objectives ..................................................................................................................................................................... 17 1.3.2 Processes ...................................................................................................................................................................... 19 1.3.3 Organizational structure and resources .......................................................................................................... 23 1.3.4 Performance feedback............................................................................................................................................. 26 1.4 Understanding the relationships of management system components ...................................................... 29 1.4.1 Understanding the systems approach .............................................................................................................. 29 1.4.2 Establishing a systems approach ........................................................................................................................ 33 Chapter 2: Management System Standards ....................................................................................................... 37 2.1 Purpose and objectives of management system standards ............................................................................. 39 2.2 Uses and needs for management system standards ........................................................................................... 40 2.3 Application of management system standard requirements .......................................................................... 43 2.3.1 Relationships of management system standard requirements to the organization’s management system ........................................................................................................................................................... 43 2.3.2 Implementation of management system standard requirements ........................................................ 44 Chapter 3: Integration of Management System Standard Requirements into the Management System ............................................................................................................................................................................. 47 3.1 Lead the integration ......................................................................................................................................................... 50 3.2 Determine the scope of integration ............................................................................................................................ 53 3.3 Plan the integration .......................................................................................................................................................... 56 3.4 Connect the management system standard requirements and the organization’s management system ................................................................................................................................................................ 59 3.4.1 Structure the management system .................................................................................................................... 59 3.4.2 Structure management system standard requirements ........................................................................... 62 3.4.3 Map management system standard requirements against the management system .................. 65 3.5 Incorporate the management system standard requirements into the organization’s management system ................................................................................................................................................................ 70 3.5.1 Identify and analyze gaps ...................................................................................................................................... 70 3.5.2 Close the gaps ............................................................................................................................................................. 74 3.5.3 Confirm gap closure ................................................................................................................................................. 76 3.6 Maintain and improve integration .............................................................................................................................. 78 3.7 Apply lessons learned in the organization .............................................................................................................. 82 Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Annex A – Generic Case Study – Jim the Baker ................................................................................................. 85 A.1.1 Management system features ................................................................................................................................... 85 A.1.2 Organizational context, risks and opportunities .............................................................................................. 85 A.1.3 Components of a management system ................................................................................................................. 86 A.1.3.1 Objectives ................................................................................................................................................................. 86 A.1.3.2 Processes .................................................................................................................................................................. 86 A.1.3.3 Organizational structure and resources ...................................................................................................... 88 A.1.3.4 Performance feedback ........................................................................................................................................ 89 A.1.4 Understanding the relationships of management system components.................................................. 89 A.1.4.1 Understanding the systems approach .......................................................................................................... 89 A.1.4.2 Establishing a systems approach .................................................................................................................... 90 A.2.1 Purpose and objectives of management system standards ......................................................................... 92 A.2.2 Uses and needs for management system standards ....................................................................................... 93 A.2.3 Application of management system standard requirements ...................................................................... 93 A.2.3.1 Relationships of management system standard requirements to the organization’s management system ........................................................................................................................................................... 93 A.2.3.2 Implementation of management system standard requirements .................................................... 94 A.3.1 Lead the integration ..................................................................................................................................................... 94 A.3.2 Determine the scope of the integration ................................................................................................................ 94 A.3.3 Plan the integration ...................................................................................................................................................... 95 A.3.4 Connect the management system standard requirements and the organization’s management system ................................................................................................................................................................ 95 A.3.4.1 Structure the management system ................................................................................................................ 95 A.3.4.2 Structure management system standard requirements ....................................................................... 96 A.3.4.3 Map management system standard requirements against the management system .............. 97 A.3.5 Incorporate the management system standard requirements into the organization’s management system ................................................................................................................................................................ 98 A.3.5.1 Identify and analyze gaps .................................................................................................................................. 98 A.3.5.2 Close the gaps ...................................................................................................................................................... 100 A.3.5.3 Confirm gap closure .......................................................................................................................................... 101 A.3.6 Maintain and improve integration ....................................................................................................................... 102 A.3.7 Apply lessons learned in the organization ....................................................................................................... 102 Annex B – Graphical Representations of Survey Responses ..................................................................... 103
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Foreword This Handbook was written at the request of the ISO Technical Management Board for organizations seeking guidance on how to integrate requirements of multiple ISO standards into an organization’s management system, both effectively and efficiently. Since the publication of the first edition of this Handbook in 2008, there have been a substantial number of changes in both ISO and non‐ISO management system standards, affecting all types of organizations. These include the introduction of the ISO High Level Structure, provided in ISO/IEC Directives Part 1, Clause SL.9. The Handbook has been updated to account for the changes. Any feedback or questions on this document should be directed to the user’s national standards body. A complete listing of these bodies can be found at www.iso.org/members.html.
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Introduction General It is recognized that organizations will have some form of a management system. Whether the system is formal or informal in nature is dependent on the scope and context of the organization. Many organizations will continually reassess their scope and the context in which they operate as their organization evolves in alignment with the changing needs and expectations of their interested parties. When the context and scope of an organization changes, this is a useful trigger for the organization to learn from others to ensure that the requirements influencing their business processes are integrated and support the organization’s objectives. This Handbook uses the phrase ‘integrated management system’ to refer to the outcome of the process of integrating requirements from multiple management system standards into a singular management system within an organization. The process for the updating of the Handbook was guided by the participation of voluntary organizations in answering a questionnaire on their integrated management systems. These organizations are representative of countries across the globe. This Handbook makes reference to this questionnaire as ‘the Survey’ with results shown in Appendix B. The challenges faced by an organization in developing an integrated management system will vary based on the size and maturity of the organization. Having an integrated management system can assist in maintaining a sustainable business model through changing environments.
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Layout of this Handbook This Handbook contains three chapters, as illustrated in Figure 1:
Chapter 1 describes the fundamentals of a management system and how it links an organization’s strategies, plans, and operations.
Chapter 2 describes the structure and content of different management system standards and their application.
Chapter 3 describes how an organization integrates the requirements of multiple management system standards into their management system.
Figure 1: Chapter Content Diagram It also contains two annexes:
Annex A details an extended generic example of “Jim the Baker” designing, implementing and integrating new requirements as the business evolves and grows.
Annex B details the graphical representation of Survey answers.
Each chapter follows a specific layout and acts as signposts for action. Guiding question(s) – Prompts for the reader to think about the subject matter covered in the section and how it relates to their organization. Overview – Foundational elements outlining the subject matter. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Approach – A practical guide to applying the subject matter. Case(s) in Point – Illustration of the subject matter as applied in different real‐world organizational contexts. The case studies have been edited for clarity and are illustrative only.
“Jim the Baker” – Illustration of the subject matter through the use of a generic example. Practice questions – Prompts for the reader to apply the principles and methods to their own situation.
How to use this handbook? The handbook is intended to help organizations understand and apply management system standards, MSS, and the framework to implement a single management system or for integrating multiple management systems. This Handbook has been designed so that the reader can start at any chapter depending on the context of the organization and the problem which the reader is attempting to solve. For example, in an organization already using one or more management system standards, a reader may simply move to Chapter 3 for guidance on the integration of the requirements of those or additional standards into the organization’s management system. Alternatively, if the reader’s organization wishes to improve and have a greater understanding of its management system through the implementation of one or more management system standards, they may begin reading at Chapter 1 or 2. The reader may use Figure 1 Chapter Content Diagram to establish the most appropriate sections with which to start. This handbook does NOT:
Provide a specific structure for an integrated management system, either as a requirement or as a guideline;
Give preference to any standard;
Contain any auditable requirements or additional obligations;
Give preference to an individual organization’s approach or practice, as described in any case study.
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Chapter 1: Management system The chapter sets out the purpose and components of a management system. Then the chapter describes how an organization’s management system fits into and is related to their business context. This understanding is the foundation of an integrated approach to the management system.
Figure 2: Chapter Content Diagram By the end of this chapter, the reader should be able to define the interrelationships between an organization and their management system.
1.1 Management system features Guiding questions
What is a management system?
Why is it important?
How do you know if you have a management system?
What are the main features of a management system?
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Overview An organization exists to satisfy the needs and expectations of their interested parties. This is achieved through the presence of a management system. This Handbook uses the definition of a management system as being a set of interrelated or interacting elements of an organization to establish policies and objectives, and processes to achieve those objectives. See ISO/IEC Directives Part 1, Clause SL.9 High Level Structure. Organizations have differing operating models with varying levels of complexity. Based on this complexity, the scope of the management system may apply to a sub‐set of an organization or the entire organization. When integrating multiple standards into the management system it is important to consider the scope of that management system. The foundational principle of a management system is an understanding of the context in which an organization operates. An organization gains this understanding by examining its external issues and internal issues that determine their success and sustainability. The organization plans their processes in consideration of their external and internal issues. They then implement the plan, monitor the efficiency and effectiveness based on data, and make appropriate adjustments. The management system should be documented to ensure continual improvement activities and retention of organizational knowledge. An organization that follows and improves its management system will likely achieve performance improvements faster than those that continue to follow ‘business as usual’ without regularly identifying, prioritizing and implementing improvements. Approach For an organization to be effective and efficient in carrying out its activities, it needs to, first and foremost, understand its environment and market in which it operates, including the organization’s competitive position. Then, the organization needs to pull together the processes, resources, tools, and work force into one coherent and functioning management system. This allows the system to produce the desired and saleable products or services. Each element of the organization is a process and must understand the interrelationship of the various processes and parts of the organization. Whether an organization is small or large, simple or complex, the environment in which it functions influences the design and implementation of its management system. Regardless of whether the management system is formally defined and documented or less formal, the needs, objectives, products, services, processes, size and structure of the organization changes over time. As such, a management system will also need to be agile, adaptable and responsive to these changes. Survey responses (see Annex B, Q1 and Q2) show that organizations of diverse sizes have integrated standards into their management system.
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Jim the Baker
A.1.1 Cases-In-Point MRS Group Limited Schematic of the management system supporting the Health, Safety and Environment function of MRS Group Limited:
Johnson Controls An illustration of the “Johnson Controls Manufacturing System (Principles)”:
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“The Johnson Controls Manufacturing System (JCMS) is a key element of the Manufacturing platform within the overall Johnson Controls Operating System
JCMS has a maturity model at its core that is based upon nine manufacturing principles
JCMS is the way that all 130+ manufacturing locations around the world are expected to perform and defines the expectations for excellence in manufacturing
The maturity model within JCMS provides a roadmap for the plants to deploy and execute manufacturing practices and governing behaviors across five levels of maturity, within each of the nine principles
JCMS provides a standardized approach and expectations for all manufacturing locations, regardless of their individual maturity at the start of the JCMS journey”
Practice questions
How have you defined the scope of your management system?
What are the internal issues affecting your management system?
What are the external issues affecting your management system?
How is your management system documented?
1.2 Organizational context, risks and opportunities Guiding questions
How does your organization’s context influence its management system?
How does your organization address uncertainty in its business planning?
Who are your organization’s interested parties? Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Overview When considering its context, the organization needs to understand both the internal and external issues, which influence the organization’s purpose, objectives and its sustainable success, such as:
The needs and expectations of interested parties.
External issues such as political stability, economic and competitive environment, cultural and social norms, technological advancement, environmental protection and preservation, and legal compliance that needs to be addressed.
Internal issues such as leadership, management, communications, competencies, and the like.
Understanding their operating environments and the way the organization differentiates and competes.
The organization’s management system is impacted by the needs and expectations of various interested parties. Determining the needs and expectations is a key step in the process of developing the organization’s objectives. This can involve balancing competing and, sometimes, conflicting needs of various interested parties. As the organization considers their context, the determination of their risks and opportunities provides valuable inputs into the design, implementation, maintenance and improvements of the management system. There are a wide range of tools and techniques available to determine and address risks and opportunities in an organizational context. These should be chosen to suit the context of the organization. Approach There are many common techniques for identifying and analysing internal and external issues impacting an organization’s management system. These include force field analysis, environmental scanning and benchmarking, Strengths ‐ Weaknesses ‐ Opportunities ‐ Threats (SWOT), and Political‐ Economic‐Societal‐Technological‐ Legal‐Environment (PESTLE) (e.g., see ISO/TS 9002:2016). Regardless of the method or tool, it is important for the organization to take into consideration these contextual, external and internal issues, and the identified high‐level risks and opportunities. Jim the Baker
A.1.2 Cases-In-Point FCC Construction “FCC Construction Policy” supports their management system with the strategic objectives and interested parties: Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Specialty Fasteners Specialty Fasteners’ consideration of the context of the organization, including the mapping of their stakeholders and interested parties to the needs of the business. Their SWOT and PESTEL templates follow as inputs to their Business Plan on a Page with a goal to integrate ISO 45001 within their QMS.
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Practice questions
How do you ensure the organization’s strategy is relevant and adaptive in responding to the markets within its context?
How have risks been determined and addressed?
How have opportunities been determined and capitalized upon?
1.3 Components of a Management System In every management system, there are several essential components for it to function. These are:
Objectives
Processes
Organizational structure and resources
Performance feedback
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1.3.1 Objectives Guiding questions
Are there objectives in place that address the needs of the organization’s interested parties?
How do these objectives relate to the organization’s management system?
Overview An organization starts with an idea to accomplish their objectives. In pursuing those objectives an organization is dependent on several interested parties. However, objectives cannot be viewed in isolation. When objectives are considered in the context of the organization, the results are likely to be far more beneficial to the organization. The organization’s challenge is to understand how to set objectives that match their business context. Prioritization of competing objectives and the impact on planning and resources can be complex. This results in the need for effective communication. Approach Objectives should be an output from the organization’s planning processes, supporting the integrated management system. The objectives then need to be cascaded throughout the organization. Planning for the deployment of the strategy reflected in the objectives is imperative to the overall success of the management system. The Survey identified a range of metrics utilized by organizations with integrated management systems (see Annex B, Q20). The key aspects are that metrics should be chosen and aligned based on the context in which the organizational objectives have been set and that they be consistent throughout the organization. Jim the Baker
A.1.3.1 Cases-In-Point Johnson Controls One approach in setting objectives is given in the case study of Johnson Controls. Johnson Controls utilizes a process based on Hoshin Kanri style of planning. First, the process involves an Environmental Scan, which encapsulates the issues affecting the context of Johnson Controls and their interested parties to develop a strategy. Secondly, a Plan Deployment Matrix is developed to determine the long term and annual objectives, which are fulfilled through the creation of annual projects. In order to ascertain the progress and impact of the projects, metrics are chosen and aligned to these objectives. The projects are monitored on a continual basis. In the case of Johnson Controls formal project teams report out monthly.
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“The Johnson Controls Manufacturing Excellence team at the corporate-level utilizes a strategy deployment matrix approach, based on Hoshin Kanri planning practices a.
Develop strategic projects on the annual basis that cascade from the multi-year strategic goals for the Manufacturing Excellence team
b.
Based upon a Hoshin Kanri approach to planning and cascading strategic plans into deployable projects
c.
Specific strategic metrics are determined to assure that projects are achieving the desired impact
d.
Regular reviews are conducted monthly to assure that projects are on track to achieving metrics and mitigating actions are taken, as appropriate
e.
This process has been used and refined over several years and is embedded into the management practices of the Manufacturing Excellence team”
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Orbital Gas Systems Ltd The first two paragraphs in the Orbital Gas Systems Ltd’s “Quality, Environmental, Health and Safety Policy Statement”:
Practice questions
What is your organization’s strategy and direction?
How do your objectives align with the strategy and direction?
How are your objectives defined and articulated?
How are your objectives linked to your organization’s interested parties?
1.3.2 Processes Guiding questions
What are the processes used for product and service realization, support, and management of the organization?
How are they interrelated?
How are the processes documented?
Overview All work in an organization occurs through its processes. Therefore, an organization should have a deep understanding of the timing, interdependences, interactions, and interfaces within the processes of the organization’s management system. Product and service realization processes provide the means to achieve the organization’s objectives and therefore form the backbone of the organization’s management system. When seeking to understand the need for integration it is equally important to understand those processes supporting the product and services realization processes. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Processes need to be both efficient and effective in transforming inputs into outputs. The output then needs to meet interested parties’ requirements. Maximizing process efficiency and effectiveness is a fundamental concept for a successful organization. Where possible, processes will have a ‘verb and a noun’ like Make Product or Deliver Service. It is recommended that the processes do not carry names of areas or departments of the organization. Approach Processes are in place for every organization. For a single or integrated management system, they need to be described and related in some form, for example the Suppliers‐Inputs‐Process‐Outputs‐Customers (SIPOC) and/or “turtle” diagrams, flowcharts/process maps and value chain diagrams. Process performance, its measures, ownership and resources need to be captured and represented within a management system. Combining the process requirements is an effective approach in designing and developing an integrated management system. The Survey results (see Annex B, Q15) show a variety of process frameworks and approaches used. Jim the Baker
A.1.3.2
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Cases-In-Point Waiward Steel Interrelationship between “Product Realization” and “Supporting” processes from the “Integrated Management Systems Manual” of Waiward Steel:
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Reliance Hexham Reliance Hexham’s “Core Business Process” interfaces and relationship with “Support Processes” and “Management Processes” is shown in two parts.
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Practice questions
How have you defined the interactions of your organization’s processes?
What is the process for realizing your products and services?
How does your organization define the differing service, manufacturing, test and delivery processes and procedures?
What are the support processes?
1.3.3 Organizational structure and resources Guiding questions
How does the organizational structure support the achievement of their objectives?
How does the organization approach their use of resources?
How does your organization define and communicate the roles and responsibilities of their human resources?
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Overview The organizational planning process is an integral part of the overall management system. Careful consideration of the external and internal issues will allow the organization to develop a robust strategy to meet the needs of the interested parties. Cascading the strategy into organizational planning leads to the design and improvement of the management system to provide sustainable performance. The organizational structure and resources of the organization directly impact the ability of the organization to design, implement, maintain, and improve their management system. Further, the organizational structure and resources must be aligned directly to their objectives through the defined and assigned process owners and managers. Approach The specific structure of the management system is dependent on the context of the organization. Smaller or less complex organizations may not utilize a formal structure. Larger or more complex organizations have a greater need for a more formal structure. This becomes apparent as a means for execution and control of the components of the management system in a coordinated manner. The organization uses a variety of resources to accomplish its objectives and to meet the expectations of its interested parties. These resources form an integral part of the organization’s management system and include:
People (job roles, responsibilities, authorities, etc.),
Materials (raw materials, graded products, by products, etc.),
Information (measurements, monitoring, feedbacks, etc.),
Infrastructure (machinery, equipment, operating conditions, employee welfare, etc.),
Finances,
Organizational knowledge, and
Other resources (e.g. knowledge and skills, time and space for improvement projects, etc.).
An effective and efficient management system looks to balance these in an integrated way and appropriately structures its management system. An organization that is more effective and efficient in delivering on the objectives is more successful. They may take the following into consideration:
establish the functions, roles and responsibilities of everyone within the organization;
determine the responsibility and accountability of the IMS;
clarify the decision‐making processes;
ensure effective coordination of the organization’s activities;
enhance and clarify different communication channels;
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monitor and analyze the organization’s activities effectively;
co‐ordinate various resources;
deploy strategies and initiatives;
identify, acquire, and deploy resources.
Jim the Baker
A.1.3.3 Cases-In-Point Reliance Hexham The organizational structure, roles and levels built around its processes within HESQ management system and including NATA accreditation in Reliance Hexham:
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MRS Alignment of resources and responsibilities to objectives from the MRS’ “HSE Management System” document.
Practice questions
How are resources determined, acquired, and deployed?
How do you coordinate the use and deployment of resources?
How are the major organizational initiatives and strategies resourced?
Are there process owners who have cross‐functional responsibility for the major initiatives of the organization?
1.3.4 Performance feedback Guiding questions
How does your organization determine their expected process outputs?
How does your organization monitor and measure whether processes are effective?
How does your organization monitor and measure whether processes are efficient?
Overview All management systems must consider the methods in which the organization obtains feedback on their performance. There are objectives at both strategic and tactical level. The organization should be able to adapt the deployment and implementation of their management system to continue to meet their objectives. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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The Integrated Use of Management System Standards (IUMSS)
The monitoring of performance alone is not sufficient. There is a need to determine and take the appropriate actions to continually improve and drive towards achieving the objectives of the organization. Taking ownership and accountability of the feedback is facilitated through effective communication and resolution of actions. Approach The organization needs to monitor and measure performance at all levels of the organization to determine their performance relative to established objectives. Understanding performance through analysis of data allows the organization to learn and develop actions for improvement and increasing organizational knowledge. For an integrated management system, it is important that the scorecard and inherent key performance indicators and other metrics for specific processes do not sub‐optimize the overall performance. Jim the Baker
A.1.3.4 Cases-In-Point CEPSA An illustration of CEPSA’s “Process Management” including process ownership and methods for calculating process performance.
Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
© ISO 2018 – All rights reserved
27
The Integrated Use of Management System Standards (IUMSS)
Johnson Controls The Johnson Controls case study details the process for how an organization may standardize the analysis and resolution of actions through a cascading plant scorecard. This is achieved through having common metrics developed and standardized at enterprise, business unit and cross‐functional specific metrics levels. Johnson Controls utilizes a monthly coordinated schedule for monitoring their ongoing performance across the enterprise. Having a standardized scorecard allows the organization to readily analyse and compare at any level.
“Within the Johnson Controls Manufacturing System (JCMS) there are key metrics that have been identified to drive the expectations for performance across the manufacturing system
Leading Metrics – Metrics that measure the extent of process deployment and execution
Performance Metrics – Metrics that measure the performance due to the deployment and execution of the manufacturing system
The JCMS key metrics are linked directly during regular reviews to the individual business unit metrics that are expressed at the plant
The expectation is that the JCMS “process drives performance” Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
28
© ISO 2018 – All rights reserved
The Integrated Use of Management System Standards (IUMSS)
Practice questions
How does your organization review its performance?
How is the performance reviewed in terms of frequency and sequence between parts of the organization?
How is feedback provided and implemented?
How do you ensure accountability through the feedback process to drive the organization’s objectives?
1.4 Understanding the relationships of management system components 1.4.1 Understanding the systems approach Guiding questions
What is meant by relationships and linkages in an organization’s management system?
How do linkages impact the effectiveness of the management system?
How do the documented information and metrics fit within the management system?
Overview Organizations operate through many formal or informal arrangements that are interlinked to achieve the organization’s objectives. This includes the framework of processes and resources used to ensure that an organization can achieve its objectives. In a systems approach, the processes that make up the framework are not isolated or independent, rather, they are linked, measured and have feedback with means to evaluate performance. Analysis of the individual components of the management system is important to explain how they work. Integration of the components reflects the systems approach. This integration includes comprehending the interaction among the processes, resources and performance feedback as they work together to achieve the objectives. A systematic approach includes understanding the interaction of the processes which support the product and service realization process, such as planning, finance, accounting, purchasing, supply chain, and many others. Ensuring the support processes work effectively with the product and service realization processes requires the monitoring of process performance. Most organizations document their processes, for example, by using flowcharting, text documents, or other methods. A variety of such documents used is shown in Survey (see Annex B, Q19). Approach Viewing the organization as a system can lead to conclusions that are different as compared to analyzing the individual components of the system. The case studies demonstrate that taking the systems view has many advantages for the organization in seeking to improve and achieve its objectives. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
© ISO 2018 – All rights reserved
29
The Integrated Use of Management System Standards (IUMSS)
The case studies also show that there are benefits to utilizing a systems approach through the linkage of their processes within the management system, for removing redundancies and gaining synergies. Jim the Baker
A.1.4.1 Cases-In-Point FCC Construction An additional systems approach taken by FCC Construction is demonstrated in their case study where they show interconnected process maps. This graphically represents the entire management system and includes the relationships between their objectives, processes and resources.
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The Integrated Use of Management System Standards (IUMSS)
Adjudicación de la obra, nombramiento del Jefe de Obra y comunicado DF.306.01 Estudio previo al inicio de la producción
100 PROCESOS DE DIRECCIÓN
ACTIVIDAD Nº
300 PLANIFICACIÓN Y EJECUCIÓN DE LA OBRA
200 CONTRATACIÓN
400 RELACIONES EXTERNAS
600 GESTIÓN DE RECURSOS HUMANOS
DF.304.01 Desarrollo y control del diseño ACTIVIDAD
Necesidad de redactar un proyecto por exigencia contractual.
2
¿Es un proyecto para licitar o para construir?
3
Desarrollar licitación.
4
Designar al Jefe de Proyecto
lvo que se incluya expresamente en el contrato.
el
proyecto
Esmar los recursos necesarios e informar de los costes al Director de Delegación.
6
Aprobar el gasto.
7
Analizar la documentación existente y establecer la planificación inicial.
9
D.D.
J.P.
el
Documentación del contrato
Realizar el diseño.
11
¿El consultor o consultores están cerficados por ISO 9001 y enen experiencia reconocida por los Servicios Técnicos de FCC Construcción?
12
Revisar y verificar el diseño
13
El diseño se parcialmente Construcción.
14
Aprobar, emir y distribuir la documentación
realiza por
PR-FCC-310
Sí
¿Se generan posteriores?
16
Archivar la documentación
E.O.
Estudio de la viabilidad económica.
2
Comprobación de la viabilidad del proyecto en la ubicación.
3
Estudio de la viabilidad técnica.
4
¿Es una obra de inicio inmediato?
5
Elaboración de un Estudio que recoja el análisis del proyecto y de la oferta.
Propuesta de aprobación del inicio de la obra.
7
Preparación de la reunión del A.P.A.T.
INFORMAC. RESULTANTE
Oferta
Modificac. posibles
Proyecto
Modificac. necesarias
Proyecto
Modificac. posibles
Proyecto. Oferta
325, 330, 340, 341, 380, Programa de Obra para acvidades anteriores a la Planificac.
Sí
No
6
INFORMAC. A UTILIZAR
D.D.
Proyecto de licitación
304,305, 306A, 306B
355 Programa de Equipos somedos a control 356 Listado de Control de Equipos 357 Instrucciones de verificación de equipos 358 Ficha de verificación de equipos 358A Ficha de verificación de equipos de plantas 359 Hoja de uso de hormigones 360 Listado de incidencias 361 Informe de incidencia 365 Listado de Acciones de mejora 366 Acción de mejora 370 Aspectos y actuaciones medioambientales 371 Objevos medioambientales 372 Plan de emergencia 375 Actuaciones de Prevención de Riesgos Laborales 376 Ficha de control de Puntos Crícos 377 Seguimiento de acvidades crícas 378 Control de Documentación de G.P.R.L. 380 Análisis del Proyecto y de la oferta 381 Datos Legales 382 Producción por U.P. 383 Producción por Capítulos 384 Expedientes 385 Coste Directo por U.P. 386 Resumen de Coste Directo 387 Costes Indirectos 388 Costes Indirectos 389 Otros Costes Indirectos y Costes de Estructura 390 Resumen de Planificación 391 Objevos de la Planificación 392 Distribución Temporal 393 Producción por U.P. 394 Producción por Capítulos 395 Resumen de Producción 396 Coste Directo Previsto 397 Resumen del Seguimiento
Modificac. necesarias y posibles.
Propuestas de modificación
DF 306.02
DF.306.02 Reunión de previsión de actuaciones técnicas ACTIVIDAD Nº
RESPONSABLES
Descripción
E.O.
D.D.
D.T.Z.
T.D./R.E.
INFORMAC. A UTILIZAR
D.Z.
INFORMAC. RESULTANTE
DF 306.01
1
Propuesta reunión.
de
convocatoria
de
la
2
Convocar la reunión.
3
Celebrar la reunión.
4
Redactar el borrador del A.P.A.T.
5
¿Es una obra de inicio inmediato? (Ver DF 306.01.4)
6
¿Se aprueba el inicio de la obra?
7
Devolución del estudio a la Delegación
8
Realizar la transcripción definiva del A.P.A.T.
9
Remir copias del A.P.A.T.
Oferta Proyecto.
AJ.: Departamento de Adjudicación C.EX. Consultor Externo D.D. Director de Delegación Det. Responsable de la organización que detecta la no conformidad D.O. Dirección de Obra D.T.Z. Dirección Técnica de Zona D.Z. Dirección de Zona E Estudios E.O. Equipo de Obra J.D.C. Jefe de Departamento de Construcción J.O. Jefe de Obra J.P. Jefe de Proyecto LAB. Laboratorio de ensayos L.C. Laboratorio de Calibración (incluso si se trata del Laboratorio Central de FCC Construcción, S.A.) P.C.M. Parque Central de Maquinaria PROV. Proveedor o suministrador R.D. Técnico responsable del diseño R.E. Responsable del estudio R.Ev.: Responsable de la organización que realiza la evaluación del proveedor RPB. Responsable de realizar las pruebas R.V. Técnico responsable de la verificación S.A. Director del Servicio de Administración S.C. Servicio de Compras S.M. Servicio de Maquinaria de la Zona o Delegación a la que pertenezca la obra en la que está el patrón ST Directores de los Servicios Técnicos Centrales SUBC. Subcontrasta T.D. Técnicos de Delegación T.P.D. Técnico de Prevención de Delegación
Datos de parda
Proyecto de construcción
Documentos de proyecto
Informe de verificación 308
DF. 304.01.13
Datos de parda
Proyecto de construcción
Documentos de proyecto
Proyecto aprobado
No
Nº
ACTIVIDAD
ACTIVIDAD
RESPONSABLES R.D.
J.P.
RESPONSABLES
Descripción
E.O.
INFORMAC. A UTILIZAR
INFORMACIÓN A UTILIZAR
R.V.
1
Realizar tareas previas al inicio de la obra.
2
Elaborar el Plan de Seguridad. (ver DF.324.01)
Documentación del contrato
3
Solicitar las licencias y autorizaciones necesarias.
4
Prever los recursos necesarios.
DF 324.01
INFORMACIÓN RESULTANTE
Estudio de Seguridad del Proyecto
Plan de Seguridad
Documentacion del contrato
y
¿Es correcto el resultado de la revisión?
Descripción
INFORMACIÓN RESULTANTE
Documentación del contrato 304,305, 306A
Proyecto de construcción
Documentos del proyecto
Jusficación de las soluciones adoptadas (Memoria del proyecto)
1
Adecuación del equipo de obra.
2
Asignación de funciones a componentes del equipo de obra.
de
las
los
3
Establecimiento organizavas.
4
Establecer la forma en la que se va a realizar la coordinación de la obra.
interfases
Organigrama surgido en el A.P.A.T.
313
313
314 ó 314A
313, 314 ó 314A
313
¿Es correcto verificación?
Realizar, si procede, la validación del diseño.
él no debe ser divulgada, total ni parcialmente, sin previo consenmiento de la Empresa. La Empresa se reserva el derecho de m El presente diagrama de flujo es propiedad de FCC Construcción, S.A. y su edición está controlada. La información contenida en
9
resultado
de
Informe de verificación 308
Documentos del proyecto
Informe de validación
E.O.
RESPONSABLES
Descripción
INFORMACIÓN A UTILIZAR
E.O.
INFORMACIÓN RESULTANTE
Nº
RESPONSABLES
Descripción
J.D.C.
INFORMACIÓN A UTILIZAR
D.O.
INFORMACIÓN RESULTANTE
Realizar chequeos en las unidades de obra consideradas en el APAT de mayor riesgo.
3
Elaborar propuestas de solución de los problemas detectados.
Proyecto. Estudio de Seguridad. Normava a ulizar. 315. Propuestas de modificación tras el Estudio Previo. Guías básicas de gesón. Guías básicas de legislación y requisitos de PRL y MA
Medición real. 320, 321. Docum. válidos para construir (300). Requisitos
Comprobación de las mediciones.
los
recursos
Proyecto
2
Definición de rendimientos.
3
Cálculo de las duraciones de las acvidades.
4
Establecimiento de las relaciones entre las acvidades.
y
5
Elaboración del programa de obra.
Mediciones
Listado de acvidades
328
328
328
327, 328
328
Establecimiento de planteamientos generales y acvidades de gesón.
4
Proponer la aprobación de las soluciones a la Dirección de Obra.
5
¿Se aprueba la solución propuesta?
6
¿Es aceptable la solución aprobada por la Dirección de Obra?
7
Actuaciones en caso de soluciones aprobadas disntas a las presentadas y técnicamente no sasfactorias.
8
Actuaciones en caso de soluciones aprobadas disntas o no a las presentadas y técnicamente sasfactorias.
INFORMACIÓN RESULTANTE
2
Definición del proceso de ejecución general de la obra, idenficación de acvidades y sus riesgos.
3
Estudio de acvidades de ejecución.
Oferta. Contrato. Proyecto 315
312
9 325, 326, 327
Sellar el original, hacer las copias necesarias, y distribuir el documento. Comprobar que la gesón de los cambios y actualizaciones se ha realizado según DF.305.01.09.
10
Distribuir o exponer documentos en vigor”.
11
Archivar el documento en el Archivo de la Obra.
304.01.14
4 Listado de acvidades, 327, 326, 328
Elaboración de la planificación inicial de la obra.
Planificación técnica
6
¿Es preciso ajustar el programa de obra?
326 Planificación técnica
Sí
Listado de acvidades, 327, 328 Planificación técnica
5
¿Es necesario ajustar la planificación inicial de la obra?
Proyecto.
Chequeo. 308
320 321
320, 321 modificados.
7
ACTIVIDAD
Realizar el seguimiento y revisión de la planificación técnica.
Listado de acvidades, 326, 327, 328 Planificación técnica
INFORMACIÓN A UTILIZAR
SC/CZ
INFORMACIÓN RESULTANTE
ACTIVIDAD Nº
RESPONSABLES
Descripción
E.O.
INFORMACIÓN A UTILIZAR
D.D.
1
Valorar la producción.
2
Valorar los costes directos.
3
Valorar los costes indirectos otros costes indirectos y costes de estructura.
Visitar el emplazamiento.
4
Determinar el resultado final.
9
Experiencia recopilada. Alternavas construcvas
alternavas
Negociar con los proveedores.
11
Enviar el comparavo de las ofertas al Jefe de Obra y copia de las ofertas que solicite.
Ver PR-FCC-307 Y PR-FCC-329
Distribución de la documentación necesaria.
9
Realizar el seguimiento y revisión de la planificación.
Ver PR-FCC-307, PRFCC-308, PR-FCC310, PR-FCC-314, PR-FCC-315, PRFCC-324, PR-FCC327 Y PR-FCC-329
la DF 305.01
381, 382, 383, 384, 391
387, 388, 389
331 Aplicación informáca OBRALIA Ofertas de proveedores
Nº
Descripción
1
¿Hay actuaciones derivadas de la revisión de proyecto no resueltas que la afecten?
Tratamiento contractual modificaciones adoptadas.
Sí
Comparavo ofertas de proveedores
Comparavo ofertas de proveedores
Seguir la gesón de la compra hasta el final.
Realizar la distribución temporal de los objevos.
6
¿Es necesario realizar ajustes?
E.O.
INFORMAC. A UTILIZAR
SUBC.
INFORMAC. RESULTANTE
390
392
Sí
de
320, 321 Documentación complementaria (croquis, cartas) (300)
las
7
Obtener la aprobación de planificación económica de la obra.
8
Realizar seguimientos mensuales. (ver DF.330.01 “Sistema información económica (SIE)”)
9
Realizar las revisiones cuatrimestrales.
2
Obtener solución a los problemas derivados de la revisión de proyecto que afecten al inicio de la acvidad. (ver DF.309.01)
3
¿Hay actuaciones de contratación de suministros que condicionen el comienzo de la acvidad?
Sí
4
Desarrollar las actuaciones de contratación que afecten al inicio de la acvidad. (ver DF.310.01)
DF 400.01 310.01
5
¿Se ha subcontratado la acvidad?
6
Acordar con el subcontrasta el método construcvo a emplear según se estableció en la planificación.
7
Distribuir la documentación necesaria a las personas y/o organizaciones que las necesiten. (ver DF.305.01)
la
381 a 392
de
10
¿Es necesario realizar ajustes?
11
Obtener la aprobación de la revisión de la planificación económica de la obra.
320 321
DF 309.01
1
ACTIVIDAD
Realizar las cuatrimestrales.
393, 394, 395, 396, 397
Sí
integraciones
INFORMACIÓN A UTILIZAR
R.Ev.
Descripción
1
Idenficación de las acvidades, trabajos, y equipos de trabajo (máquinas y medios auxiliares ) a ulizar en la obra.
2
Catálogo proveedores
No
sectores
Catálogo proveedores
Recoger la información necesaria para introducir en la aplicación informáca los datos generales de la empresa, realizar un Informe de Evaluación Previa del Proveedor o, si se puede, asumir la evaluación reciente efectuada por otra obra, y establecer las precauciones a adoptar.
Catálogo proveedores 333
¿Es apto el proveedor?
5
¿Rechazar al proveedor?
INFORMACIÓN A UTILIZAR
320 321 Document. Complement.
330 331 Pedido o contrato.
330 331
340 ó 341 iniciales
8
Recepción en obra de los suministros que se precisan para la ejecución de la acvidad. (ver DF.310.03)
9
Ejecución de los tajos.
DF 305.01
340 ó 341 definivos. 351, 352, programa de pruebas
300, 301, 316 ó 317
DF 310.03
3
¿De qué po de cambios y modificaciones se trata? a.- El documento deja de ser válido en su totalidad. b.- E l documento se modifica parcialmente.
4
Se anula y ¿se sustuye?
10
Control de los tajos. (ver DF.315.01)
11
Control económico. (ver DF.330.01)
12
Seguimiento y revisión Planificación. (ver DF.306.05)
de
332 cumpliment.
332
Proyecto Estudio de Seguridad
Establecimiento de Acvidades Crícas a parr de las acvidades seleccionadas.
375
5
6
¿Se han comprobado las mediciones anteriormente? Medir las unidades correspondientes.
4
¿Es un suministro de menor valor y transcendencia?
5
Realizar el comparavo y el pedido.
6
¿Es un producto suministrado por el cliente?
7
Gesonar con el cliente el suministro.
8
¿Se gesona la compra en base a un contrato nacional o regional?
ACTIVIDAD Nº
376
Descripción
1
Analizar los datos económicos de la obra.
2
Apertura del S.I.E.
Definición de las actuaciones a realizar para eliminar o reducir los riesgos previstos.
375
375
Plan de Seguridad
3
Gastos de obra
Elaboración y aprobación del Plan de Seguridad.
4
Producción y costes previstos mes.
8
Implantación de la prevención de riesgos laborales en la obra.
Plan Segur., 375, Manual de Seguridad
Documentos necesarios Plan Segur.
5
Valoración de almacén.
9
Comprobación del funcionamiento de la prevención de riesgos laborales en la obra.
375, 376, 377, Plan de Seguridad
375, 376, 377, 378 Registros inspección
6
Costes reales mes.
375, 376, Plan Segur.
375, 376, Plan Segur.
310.01.17
10
DF.700.01 Apoyo de los Servicios Técnicos a las obras ACTIVIDAD Descripción
2
¿Se ha parcipado en el estudio o es una obra importante?
3
Establecer contacto con el Director de Delegación y/o el DTZ.
4
Es necesaria la parcipación de los Servicios Técnicos Centrales antes del APAT.
RESPONSABLES DD
JO
ST
DTZ
TD
AJ
INFORMACIÓN A UTILIZAR
ACTIVIDAD
INFORMACIÓN RESULTANTE
Nº Listado 603
Realizar el estudio encargado.
Parcipar en el estudio previo realizado por el equipo de obra.
INFORMACIÓN RESULTANTE
Mediciones del Proyecto
Sí
5
Se sella como "Anulado” y se recogen las copias distribuidas.
6
¿El documento que deja de ser válido se sustuye totalmente y sólo por otro?
7
Se incrementa en un número la revisión del documento y recogen las copias de la revisión anterior.
8
Se generan los nuevos documentos que sustuyen al documento original, y se recogen las copias de éste.
9
Se emiten los documentos que conenen los cambios, marcándose las zonas modificadas en el documento original, y rerándose las copias obsoletas.
300 y 301 Documento
300 y 301 Documento anulado
300 y 301 Documento
300 y 301 Nuevo documento
300 y 301 Documento
300 y 301 Nuevos documentos
300 y 301 Documento
300 y 301 Documento modificado y documentos complementarios
b
a
No
DF.317.01 No conformidades DF.307.01 Planificación técnica Nº 1 Nº
1
Descripción
RESPONSABLES
Det.
D e t e c c i ó n A dC e a A Di n c i d e n c i a ( n o T I V Il D conformidad, incidencia ambiental o c rviepnc icói ó nn d e r i e s g o s i n c i d e n c i a d eD pe rs e laborales): . Recepción de materiales y/o equipos. c inóens d e p l arsa cmecdaidcai os n .C oI nmsppreocbcai o , e se. n s a y o s y pruebas realizados. . Auditorías del Sistema y Visitas de DE e vfianl u i caicói ónn T édcen i c al od se C ornesct ruurcscoi ós n . y t ons . p o r t e r c e r a s .r eDned ti m e ci ecni ó partes a través durante la ejecución de la obra l aasd .C áD lect ue cl oc i ódne d il raesc t da uproarc il o a n eps r odpei e d a co v si duasd erse. p r e s e n t a n t e s y p o r l o s responsables de la ejecución de E sl taa o bb l er cai.m i e n t o d e l a s r e l a c i o n e s e n t r e .l aCs uaaclqvui ideardoe tsr. o medio de detección.
2 5
Registrar los datos necesarios. Elaboración del programa de obra.
3 6
¿Se hace informe detallado en función d¿ eE sl a pi rmepcoi sr toa nacj iuas dt ae rl ae il n p c irdoegnrcai am?a d e obra?
Proyecto y Modificac.
47
E.O.
INFORMACIÓN A UTILIZAR
D.O.
RESPONSABLES
INFORMACIÓN RESULTANTE
INFORMACIÓN A UTILIZAR
E.O.
INFORMACIÓN RESULTANTE
DF 306.05
Proyecto
Mediciones
Listado de acvidades
328
328
328
327, 328
328
Listado de acvidades, 327, 326, 328
P l a nCi fiocdai fi c icóanc itóénc n i c a
326 Planificación técnica
Listado de acvidades, 327, 328 Planificación técnica
360
No Sí Sí
Comparavo y pedido
314.01.05
v insdi óon: d e l a ERsetauldi zi a a rr leal isnecgiudiemnicei n a tion cyl ur e ye .p lEavnai lfiucaacciióónn dt eé clnoisc ae .f e c t o s .
Listado de acvidades, 326, 327, 328 Planificación técnica
. Determinación de las causas y riesgo en PRL. . Propuestas de resolución. . Acciones de emergencia. . Necesidad de acciones correctoras.
Mediciones actualizadas en Planificac. Económica
Sí
No
5
Emir el informe y designar responsable de su cierre.
6
Aprobar el informe de incidencia (si es necesario, preferiblemente, por escrito).
7
Cierre de la incidencia.
DF 314.01
L i s t a3d6o1 d e d ae dn esfi,c a n d o a c v( ii d 3 2 6 ,á3r2e7a,, m 3 2a8t e r i a l , q cuai pc ioó, nt rtaébc anjioc ao P l a nei fi componente afectado)
al
361
No
330
Relac. contratos nacionales y regionales
Si
DF 314.01
RESPONSABLES
Descripción los
E.O.
1
Idenficación de medioambientales.
aspectos
2
Idenficación de los requisitos legales y demás requisitos aplicables a la obra desde el punto de vista medioambiental.
3
Evaluación de los aspectos medioambientales idenficados.
DF 306.05
Sí
Proyecto
4
Proyecto
Estudio de soluciones
Proyecto
Estudio previo
Ordenar el suministro de acuerdo con el contrato nacional o regional. ¿Se requiere la gesón del Servicio de Compras o del Departamento de Compras de Zona? Desarrollar el apoyo por parte del Servicio de Compras o el Departamento de Compras de la Zona.
Contrato nacional o regional Relac. de acvidades puntuales de apoyo en contratación
310.02
No
Sí
361 aprobado
ACTIVIDAD OBRALIA y Aplic. informáca
Seleccionar posibles proveedores
13
Obtener ofertas de los proveedores.
331 Mediciones actualizadas
Ofertas de proveedores.
14
Realizar el comparavo de las ofertas de los proveedores.
Ofertas de proveedores
Comparavo ofertas de los proveedores.
15
Negociar con los proveedores.
Ofertas de proveedores
Oferta y 331 definivos
16
Seleccionar un proveedor de entre los comparados.
17
Verificar la calificación del proveedor. (ver DF.310.01.17)
Comparavo ofertas de los proveedores Aplicación informáca
DF.310.01.17
18
Enviar el comparavo, propuesta firmada por el J. Obra y el J. Dpto., y resultado de evaluación, en su caso, al D.D/D.Z para su autorización.
19
¿Autoriza la propuesta?
353. Partes de inspecc. Resultado de ensayos y pruebas. Estado de inspección y ensayo. 360, 361
EO
Definición de las actuaciones medioambientales a realizar: •
impuestas por los diferentes requisitos
•
los que traten de prevenir/reducir los
Descripción
1
Decidir la apertura de una acción correctora / prevenva.
2
Abrir una acción correctora / prevenva, y comunicar la apertura al Director de Delegación.
3
Idenficar y definir la causa del problema.
4
Definir la prevenva.
5
Implantar prevenva.
6
Comprobar la eficacia de la acción correctora/ prevenva.
7
¿La acción correctora / prevenva fue eficaz?
333
Comparavo 333
DD
SA
INFORMACIÓN A UTILIZAR
acción
la
acción
INFORMACIÓN A UTILIZAR
E.O.
correctora/
correctora/
INFORMACIÓN RESULTANTE
366
365; 366
366
366
366
366
366
366
366
366
365; 366
365; 366
No
Sí Sí
Contrato
20
Elaborar y firmar el contrato.
21
Ordenar el suministro de acuerdo con el contrato, o bien comienzo de los trabajos de subcontratación.
8
ACTIVIDAD
DF.315.02 Control de equipos de inspección, medición, ensayo y pruebas ACTIVIDAD
RESPONSABLES E.O.
PROV.
INFORMACIÓN A UTILIZAR
Descripción
1
¿Es necesario visitar las dependencias del proveedor para inspeccionar previamente el envío?
2
Visitar las dependencias del proveedor para inspeccionar previamente el envío.
Contrato 331
336
3
Realizar la recepción en obra de los materiales, equipos y/o elementos.
332 preelaborad.
332 cumpliment. o Albarán
¿El resultado aceptable?
5
Aceptación del suministro.
6
¿Se rechaza el suministro?
de
la
recepción
7
Devolución proveedor.
8
Reposición de los materiales, equipos o elementos rechazados.
9
Actuar sobre los suministros presenten defectos.
No
Sí
es
Contrato 331
Sí
RESPONSABLES
Nº
Descripción
1
¿Quién es el propietario del equipo de inspección, medición, ensayo y pruebas?
E.O.
INFORMACIÓN A UTILIZAR
INFORMACIÓN RESULTANTE
Proyecto
355
314 ó 314A; 355
355
355
356 Protocolo de Calibración.
355, 357
355, 356 357, 358 Cerficados calibración Inf. reparac. Equeta
315.01.03
INFORMACIÓN RESULTANTE
Nº
4
Cerrar la acción correctora / prevenva, valorar su coste, y comunicar el cierre al Director de Delegación.
Contrato
DF.310.03 Recepción de materiales, equipos y elementos
INFORMACIÓN RESULTANTE
Contrato
RESPONSABLES
Nº
314.01.07
RESPONSABLES
360 361
DF.317.02 Acciones correctoras y prevenvas de obra
DF.310.01.11
12
2
Idenficar individualmente equipo a controlar en la obra
3
Definir los responsables de los equipos
4
¿Se trata de un patrón de verificación o de un equipo?
5
Control de patrones de verificación. (ver DF.315.02.05)
6
Calibrar / verificar el equipo.
7
Incluir los requisitos correspondientes en el Contrato
8
Idenficar, en su caso, los elementos examinados o ensayados con un equipo fuera de calibración / verificación. (ver DF.317.01)
F.C.C. CONSTRUCCIÓN, S.A.
Proveedores
cada
Patrón de verificación
Equipo
DF 315.02.05
No
Facturas contabilizadas
No
Plantec (PLT) Planeco
7
Resultado mes obra y envío a Delegación.
8
Integración mensual S.I.E. obras.
9
Gastos generales Delegación.
Inventario de almacen
del
suministro
al
que
Valorada subcontrat., albaranes, baremos, etc.
360, 361
315.01.03
Cuadros desfases Cuadros normalizados Traspasos de obras Traspaso Delegación
331 Contrato Cerficados
358
314.01.09
DF.315.02.05 Control de patrones de verificación
DF.315.01 Inspección, ensayo y pruebas
ACTIVIDAD
Datos básicos Integraciones
ACTIVIDAD
RESPONSABLES
Nº
Descripción
1
¿La acvidad es objeto de inspección, de ensayo o de pruebas?
E.O.
2
¿Es necesario usar equipos de inspección, medición, ensayo y pruebas?
3
Realizar las actuaciones necesarias de control de los equipos a ulizar. (Ver DF.315.02)
4
Realizar las inspecciones y anotar los resultados.
LAB/RPB
INFORMACIÓN A UTILIZAR
INFORMACIÓN RESULTANTE
Nº
Descripción
1
Idenficar los patrones de verificación controlados por el P.C.M.
2
Realizar el seguimiento y control documental de las calibraciones de los patrones de verificación.
3
¿Va a caducar la calibración del patrón en los próximos 15 días?
4
¿Dónde se encuentra el patrón de verificación?
5
Noficar la caducidad de la calibración del patrón de verificación con 15 días de antelación.
6
Enviar el patrón de verificación al P.C.M.
7
Recibir el patrón de verificación.
8
Enviar el patrón de verificación al laboratorio de calibración.
9
Recibir, calibrar y devolver el patrón de verificación.
RESPONSABLES L.C.
P.C.M.
S.M.
E.O.
INFORMACIÓN A UTILIZAR
INFORMACIÓN RESULTANTE
315.02.05 314.01.10
DOCUMENT. A UTILIZAR
DOCUMENT. RESULTANTE
Proyecto GBPCMA
370
3 7 0 , GBPCMA Legisl. Local, Contrato, Decl. Impacto Ambiental, etc.
370
370 GBPCMA
370
10
Tasa estructura Delegación.
11
Distribución del coste de carga financiera real.
12
Resultado S.I.E. Delegación y su envío al Servicio de Administración
No
No
Enviar información a los Servicios Técnicos Centrales
7
Revisión de la prevención de riesgos laborales de la obra.
DF.327.01 Planificación medioambiental
Sí
6
Planos con modificaciones y/o croquis y/o documentos
Sí
7
Comparavo ofertas de los proveedores
Se elige otro proveedor.
Comunicar a los Servicios Técnicos la adjudicación de una obra
No
obra
11
DF.330.01 Elaboración del S.I.E.
No
5 Nº
DF 306.05
375
375 Estudio de Seguridad
Sí
1
de
10
¿Se obenen las autorizaciones superiores necesarias?
Nº
Juego de planos
No
PR-FCC-306 PR-FCC-530
Idenficación de los requisitos legales en materia de prevención aplicables a la obra.
Selección de aquellas acvidades, trabajos, y equipos de trabajo (máquinas y medios auxiliares ) que se consideren más importantes por su especial riesgo o por su incidencia en materia de seguridad.
Sí
7
INFORMACIÓN A UTILIZAR
SC/CZ
310.03 314.01
351, 352, 353, programa de pruebas
DF 315.01
DF 330.01
la
No
6
INFORMACIÓN RESULTANTE
Sí
No
No
Planificación técnica 330
340 ó 341 definivos
INFORMACIÓN RESULTANTE
Proyecto Estudio de Seguridad
Evaluación de los riesgos previsibles que pueden derivarse para la seguridad de las personas que trabajan en la obra.
Catálogo proveedores
No
T.P.D.
4
Sí
4
E.O. DF 306.05
3
Catálogo proveedores
No
Sí
3
DD/DZ
Iniciar la fase de compra de acuerdo con la planificación de la obra.
3
Sí
No
INFORMACIÓN RESULTANTE
Sí
los
RESPONSABLES
Nº
310.01.17
en
E.O.
381 a 392
ACTIVIDAD
RESPONSABLES
Descripción
¿Está calificado necesarios?
RESPONSABLES
Descripción
2
No
DF.324.01 Prevención de riesgos laborales
¿El proveedor seleccionado está dado de alta en la aplicación informáca?
INFORMACIÓN A UTILIZAR
E.O.
Tratamiento específico de cambios y modificaciones en obras pequeñas.
4
No
12
DF.310.01.17 Verificación de la calificación de proveedores
2
300 y 301
RESPONSABLES
Descripción
¿Se trata de una obra pequeña?
2
306.05
No
Sí
DF 314.01
1
300 y 301
300 y 301
301
ACTIVIDAD
320, 321. Documentación complementaria (croquis, cartas) (300)
ACTIVIDAD Nº
310.01.16
Nº
300
300 y 301
305.01.09
DF.310.01 Compras y subcontratación
DF 306.05
No
Ofertas de proveedores
RESPONSABLES
No
12
de
2
DF 306.05
9
DF.314.01 Desarrollo de acvidades
385, 386
390
5 Alternavas construcvas
Aplicación informáca Conocimiento del mercado OBRALIA
Realizar el comparavo de las ofertas de los proveedores.
10
Ver PR-FCC-307 Y PR-FCC-329
381, 382, 383, 384, 391
381, 382, 383, 384, 385, 386, 387, 388, 389, 391
Enviar peción de ofertas y obtener ofertas de los proveedores.
DF 305.01.09
No
¿Se requiere información adicional o realización de actuaciones complementarias?
Seleccionar posibles proveedores.
Ver PR-FCC-307, PRFCC-308, PR-FCC310; PR-FCC-314; PR-FCC-315, PRFCC-324, PR-FCC327 Y PR-FCC-329
Ver PR-FCC-307, PRFCC-308, PR-FCC310, PR-FCC-314, PR-FCC-315, PRFCC-324, PR-FCC327 Y PR-FCC-329
ACTIVIDAD
4
8
Documento comprobado y distribución al dorso
300
Sí
381, 382, 383, 384, 391
3
7
325, 328, 330, 355
Ver PR-FCC-307, PRFCC-308, PR-FCC310; PR-FCC-314; PR-FCC-315, PRFCC-324, PR-FCC327 Y PR-FCC-329
DF 314.01
Planificación Técnica
Document. de Obra (331, medición)
No
Sí
Determinar posibles construcvas.
Obtener la aprobación de planificación inicial de la obra.
8
INFORMACIÓN RESULTANTE
325, 326, 327
DF 306.05
330
Analizar la información proporcionada por la Obra.
Recopilar información.
Elaboración de la documentación necesaria.
7
DF.329.01 Planificación económica
RESPONSABLES
310.01.10
6
6 Listado de acvidades, 326,327, 328 Planificación técnica
DF 314.01
DF.310.01.11 Gesón centralizada de compras puntuales
5
“Listado
Documento
No
Sí
Sí
No
No
2
el
1
3
Sí
Descripción
o
Sí
No
INFORMACIÓN A UTILIZAR
E.O. DF.306.03 DF.306.04 DF.309.01
No
Sí
El Jefe de Obra requiere la gesón del Servicio de Compras o del Departamento de Compras de Zona.
cambios
Sí
la
¿Es correcto el resultado de la validación?
1
No
No
ACTIVIDAD ACTIVIDAD Nº
1 Documentos del proyecto
RESPONSABLES
Descripción
Idenficar y analizar los requisitos.
2
DF 306.05
DF 306.05
Sí
Nº
recoge
9
No
el
No
de
8
316 ó 317
DF.306.05 Planificación integrada de la obra
DF.307.01 Planificación técnica
1 Verificar el diseño.
1
DF 306.02
Memoria del proyecto
Sí
8
¿El documento modificaciones?
DF 306.02
INFORMACIÓN A UTILIZAR
E.O.
Acta de comprobac. del replanteo
Firmar el Acta de Comprobación del Replanteo.
No
7
7
documento
305.01.09
DF 306.05
6
Introducirlo en el “Listado de control de documentos”.
un
ACTIVIDAD
Licencias y autorizac.
304,305, 306A, 306B
5
5
Comprobar la validez del documento en obra y definir a quién se distribuirá.
6
Nº
315 y, en su caso, 380 y documentac. resultante de la acv. 5 del DF.306.01
RESPONSABLES
INFORMAC. RESULTANTE
304.01.08 304.01.09
Revisar el diseño.
5
315
DF.306.04 Organización y funciones
DF 306.02
DF.304.01.13 Diseño total o parcial por FCC Construcción
Realizar el diseño.
¿Se trata de un documento válido para construir?
INFORMACIÓN RESULTANTE
Anexo 1
DF.305.01.09 Cambios y actualizaciones de documentos válidos para construir 315 borrador
ACTIVIDAD
4
Anotar en el original del documento las personas, y fechas, a las que se distribuye copia.
4
byc
Organización de la obra
Nº
DF.306.03 Previsión de recursos para el inicio de la obra
Nº
3
¿Se trata de caracteríscas?
3
INFORMACIÓN A UTILIZAR
E.O.
a
Sí
DF.306.03 DF.306.04 DF.309.01
ACTIVIDAD
metodología
2
DF.309.01 Revisión del proyecto 304,305,306A, 306B, 307 Doc. del proyecto Inf. de verif. y validación
Descripción
¿De qué po de documento se trata? a.- D o c u m e n t o s q u e i n d i c a n c ó m o s e hacen los trabajos. b.- Documentos que indican el estado de otros (Listados). c.- Documentos que indican cómo se han hecho los trabajos.
Sí
Sí
Idenficar y analizar los requisitos y datos de parda y revisar la planificación.
Descripción
1
Sí
315 borrador
No
No
1
Nº
Sí
Sí
Nº
Fecha 12 03 2009
RESPONSABLES
No
modificaciones
Definir la normava, herramientas.
ACTIVIDAD
Contrato consultor
No
2
Edición 2
DF.305.01 Control de distribución y archivo de documentos en obra
RESPONSABLES
Manual de gesón de la calidad Organización general y funciones Informes para la Dirección Análisis y mejora de actuaciones Preparación y seguimiento de ofertas Concesiones Plan de calidad Contratos nacionales Recepción de materiales, equipos y elementos Control de patrones de calibración Recepción de viviendas Archivo de obra Relaciones con clientes Relaciones con instuciones, promoción e imagen de empresa Contabilidad financiera Fiscal Tesorería Gesón de facturación, cobros y pagos Gesón de los recursos humanos Desplazamiento temporal de personal al extranjero Asesoría jurídica Auditorías Actuaciones de I+D+i Gesón y Seguridad de la información Formatos Glosario de términos
No
total o FCC
15
PR-FCC-100 PR-FCC-120 PR-FCC-130 PR-FCC-140 PR-FCC-200 PR-FCC-210 PR-FCC-308 DF.310.02 DF.310.03 DF.315.03 DF.315.04 PR-FCC-312 PR-FCC-400 PR-FCC-410 PR-FCC-500 PR-FCC-510 PR-FCC-520 PR-FCC-530 PR-FCC-600 PR-FCC-610 PR-FCC-710 PR-FCC-720 PR-FCC-730 PR-FCC-800 PR-FCC-810 PR-FCC-820
INFORMACIÓN RESULTANTE
Sí
proyecto
10
INFORMACIÓN A UTILIZAR
E
Bases de licitación Datos de parda
¿El proyecto se subcontrata, total o parcialmente, a consultores externos? ¿Se subcontrata completo?
J.O.
Licitar
de
5
8
odificar este diagrama de flujo cuando lo considere conveniente. Este diagrama de flujo no genera ningún derecho de cliente, sa
C.EX.
Construir
Descripción
1
800 INFORMACIÓN Y DOCUMENTACIÓN
700 PROCESOS DE APOYO
RESPONSABLES
Descripción
1
OTROS PROCEDIMIENTOS Y PROCESOS DEL SISTEMA DE GESTIÓN
RESPONSABLES
Nº
500 ADMINISTRACIÓN Y FINANZAS
Sistema de Gesón y Sostenibilidad Procesos de obra
FORMATOS 300 300 Listado de Control de Documentos 301 Listado de documentos en vigor 304 Planificación de acvidades y recursos de proyecto 305 Registro de toma de decisiones de proyecto 306A Entrada de correspondencia de proyecto 306B Salida de correspondencia de proyecto 307 Lista de documentos en vigor de proyecto 308 Verificación / chequeo de proyecto 310 Portada de Planificación de obra 311 Índice de la Planificación de obra 312 Descripción de obra 313 Organización de la obra 314 Distribución de funciones (obra con oficina técnica) 314A Distribución de funciones (obra sin oficina técnica) 315 Acta de previsión de actuaciones técnicas 316 Acta de reunión de obra 317 Lista de decisiones 318A Informe de cierre de obra 318B Experiencias a transmir 320 Listado de revisión de proyecto 321 Revisión de proyecto 325 Listado de acvidades 326 Programa de hitos 327 Estudio de acvidades de gesón 328 Hoja de acvidad 330 Listado de Compras 331 Especificaciones de Compras 332 Informe de recepción 333 Informe de evaluación previa del proveedor 335 Listado de exigencias de idenficación y trazabilidad 336 Autorización de envío 337A Contrato con subcontrastas e industriales de obra 337B Contrato de suministros de obra 340 Formato procedimiento específico (portada y hoja interior) 341 Instrucciones de trabajo 351 Programa de puntos de inspección 352 Programa de Ensayos 353 Ficha de Control de Ejecución
370 GBPCMA
13
Integración S.I.E. Delegaciones.
14
Gastos generales División.
15
Resultado División y demás datos del Informe Económico Financiero.
370
ENSAYO O PRUEBAS
INSPECCIÓN
No
No
Sí
Sí
DF 315.02
DF 315.02
351
Registro de inspección
No
5
¿Los resultados son aceptables?
6
¿Se subsanan las deficiencias sobre la marcha?
Sí
aplicables a la obra,
Sí
Listado de patrones de verificación Listado de patrones de verificación Listado de patrones de verificación
No
Sí P.C.M.
Obra
Noficación
impactos sobre el medio relacionados con los aspectos que hayan resultado significavos en la evaluación, •
8
Coordinar los estudios manteniendo una visión global de soluciones.
9
Realizar el APAT (ver DF.306.02 Reunión de previsión de actuaciones técnicas).
10
¿Se solicitan apoyos en el APAT, o posteriores a este durante la realización de la obra? ¿Los apoyos enen coste para la obra?
12
¿Se aceptan las propuestas de coste?
5 Proyecto Estudios
315
315
Realizar el apoyo.
14
Aceptar el trabajo y, en su caso, los costes previstos facturados.
15
Dar por finalizadas las actuaciones de apoyo.
para todos los Elaboración, potenciales accidentes medioambientales , de planes de emergencia que reflejen las medidas prevenvas adoptadas y las acciones a considerar en los momentos iniciales de producirse el suceso.
370
Anotar la incidencia en el registro de inspección.
Registro de inspección
Registro de inspección cumpliment.
8
Realizar los documentarlos.
352 Programa de pruebas
Informes de ensayos y pruebas
9
Realizar el seguimiento ensayos/pruebas.
Informes de ensayos y pruebas
Informes de ensayos y pruebas visados
372
Sí Sí
10 No
6
Establecimiento de medioambientales.
7
Elaboración de la documentación necesaria.
los
objevos
Ofertas aceptadas
Sí
No
13
7
y las voluntariamente adoptadas.
Proyecto
No
11
No
Proyecto 315
Documentos del apoyo
8
Seguimiento y revisión de la planificación medioambiental de la obra.
370 GBPCMA OG
371
370, 371
Documentos necesarios
370, 371 Documentos necesarios
DF 314.01
Registros de inspección 370, 371 Documentos necesarios
Gesón de la facturación, cobros y pagos (PR-FCC-530)
Actuaciones de fin de obra, antes y después de la rerada total del equipo de obra (PR-FCC-306)
11
ensayos/pruebas
¿Los resultados de los pruebas son aceptables?
de
y
los
ensayos/
Cerficado Calibración
No
10
Recibir el patrón de verificación.
11
¿El patrón se encontraba en obra?
12
Devolver el patrón a la obra, junto con copia del cerficado de calibración.
13
Almacenar el patrón de verificación.
Cerficado Calibración
356 Equeta
Sí
¿Se abre una no conformidad? No Sí
12
Abrir una no conformidad, incidencia ambiental resolverla, y volver a inspeccionar / ensayar / probar, en su caso. (Ver DF.317.01)
DF 317.01
13 Idenficar el estado de inspección y ensayo. 314.01.10
Registros de inspección y resultados de los ensayos y pruebas
No
Sí
Copia de Cerficado Calibración
Estado de inspección y Ensayo 315.02.05
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31
The Integrated Use of Management System Standards (IUMSS)
CEPSA CEPSA’s illustration of the relationships of management system components.
Practice questions
When reviewing the process model for your organization, are there multiple management systems?
How are the processes integrated?
How have you determined the relationships between the processes?
Where are the redundancies or non‐value‐adding processes?
How could you link requirements to your organizational processes?
Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
32
© ISO 2018 – All rights reserved
The Integrated Use of Management System Standards (IUMSS)
1.4.2 Establishing a systems approach Guiding questions
How are management processes used to control your organization?
How is the management system used to support the organization’s business activities and processes?
Overview To establish a systems approach, the organization needs to understand how its system works and how success is measured. This includes an understanding of the relationship between the objectives, processes, resources and performance measures. Once there is a clear understanding, the organization can clearly design, implement, maintain and improve their management system. How a system responds to issues is an indicator of the level of continual improvement and the overall performance of the system. The concept of the systems approach is a key element when considering the integrated use of management system standards. Approach The definition and analysis of the processes and their linkages provides a foundation for the management system. Using this foundation, the organization can examine the opportunities for synthesis of all the major components of the management system to achieve objectives more effectively and efficiently. Jim the Baker
A.1.4.2
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33
The Integrated Use of Management System Standards (IUMSS)
Cases-In-Point MRS An illustration of the MRS’ “HSEQ Management System Framework”:
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Centro Cerro The Centro Cerro case study illustrates a method for a company to connect different processes and resources across the management system, for example, from establishment of policy objectives through planning to continual improvement. The graph below also shows responsibilities across a broad range of activities.
Practice questions
How do the supporting processes of your management system interact with the product and service realization processes of your organization?
How well are they integrated into the overall management system?
How do they relate to the objectives, interested party requirements, and the use of resources and other components of the management system?
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Chapter 2: Management System Standards A management system standard is a set of structured requirements that provide an organization with the capability to meet the specific purpose of the standard, such as the establishment of environmental, energy, information security, asset or risk management systems. These standards have different objectives and they affect multiple interested parties. This chapter describes the content of management system standards and their relationship with the organization’s existing management system.
Figure 3: Chapter Content Diagram One of the most significant changes to ISO management systems standards in recent years is the development of the High‐Level Structure (HLS) that all these standards are to be based upon. Therefore, it is important to have a general understanding of this HLS when the organization is implementing ISO management system standards. The HLS provides a common structure, some common text, terms and definitions for management system standards. For reference, the following is the clause structure taken from the HLS: 1.
Scope
2.
Normative references
3.
Terms and definitions
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5.
Leadership
6.
Planning
7.
Support
8.
Operation
9.
Performance evaluation
10. Improvement All ISO management system standards that are revised or written since its publication are required to follow this structure. This commonality may make it easier for the organization to read and understand the management system standards. It may also make it easier for the users during analysis and implementation of management system standard requirements to identify their commonalities and differences. For example, the following table shows excerpts from clause 5.1 of four ISO management system standards with highlighted commonalities. ISO 9001
ISO 14001
ISO 27001
ISO 45001
5.1 Leadership and commitment
5.1 Leadership and commitment
5.1 Leadership and commitment
5.1 Leadership and commitment
“Top management shall demonstrate leadership and commitment with respect to the quality management system by: …
“Top management shall demonstrate leadership and commitment with respect to the environmental management system by: …
“Top management shall demonstrate leadership and commitment with respect to the information security management system by: …
“Top management shall demonstrate leadership and commitment with respect to the OH&S management system by: …
c) ensuring the integration of the quality management system processes and requirements into the organization’s business processes;”
c) ensuring the integration of the environmental management system processes and requirements into the organization’s business processes;”
c) ensuring the integration of the information security management system processes and requirements into the organization’s business processes;”
c) ensuring the integration of the OH&S management system processes and requirements into the organization’s business processes;”
It should be noted that it is not necessary, or intended, for the organization to adapt their processes or documents to the HLS. Rather, they should follow their strategic objectives and operating processes. The remainder of this Chapter sets out to elaborate on the purposes and objectives of standards, the uses and needs of standards and finally the application of the standards to your management system.
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2.1 Purpose and objectives of management system standards Guiding questions
Which standards have you deployed in your organization?
Why are standards necessary for my organization?
Which standards relate to the needs and expectations of interested parties?
Overview Successful organizations understand the need to control their important activities. The primary purpose of a management system standard is to provide a framework enabling the organization to accomplish this objective. Another purpose is to meet the needs and expectations of the organization’s interested parties and improve. Approach Management system standards provide a tool to enable a systematic and verifiable approach to organizational control in an environment that encourages good business practices. The Survey results show that organizations already have multiple standards deployed in their organization (see Annex B, Q12). This highlights that organizations are using these to provide a framework for analysis and implementation of internationally recognized good business practices. Some common requirements of management system standards generally apply to all organizations:
Management and employee responsibility, authority and accountability;
Competence and awareness;
Planning and deployment of resources;
Internal and external communication;
Risk evaluation and impact on objectives;
Performance review related to organizational objectives;
Internal audits;
Control of documented information.
Jim the Baker
A.2.1
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Cases-In-Point Informatica El Corte Ingles In their response to the survey, Informatica El Corte Ingles listed three implemented standards, namely ISO 9001, ISO 20000‐1 and ISO 27001 and one regulation. Their response to the survey question: “How did you show the relationship of your organization's processes to the requirements on an ISO or non‐ ISO MSS?” was: “ISO 20000-1 establishes very clearly which processes you need to comply with, and the minimum requirements for each of them.” Tradeco Tradeco’s response to the survey question “What external ISO or non‐ISO Standards are integrated within your management system”: “ISO 9001, ISO 14001 and OHAS 18001” Plexus Corp Plexus Corp’s response to the survey question “What external ISO or non‐ISO Standards are integrated within your management system”: “ISO 9001, AS9100, ISO 13485, TL9000, ISO 14001, OSHAS 18001, ATEX, IRIS, ISO 50001,” Practice questions:
Is the authority and responsibility of management and employees known and understood?
Are there differences in your organizational objectives that have been developed for your deployed standards?
How are the requirements of these standards communicated?
How are they monitored?
2.2 Uses and needs for management system standards Guiding questions
When are management system standards necessary for your organization?
Which management system standards should you use?
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Overview Management system standards identify requirements that are of importance because of the potential risks to the organization. Failing to address these risks may be an obstacle to the organization’s ability to satisfy its interested parties, and to meet its objectives. Management system standards focus on a topic or theme that applies to a functional aspect of an organization, such as quality, environment, safety, security and energy or to industry specific requirements. Management system standards tell the organization what is required, but typically do not address how to fulfil the requirement. This is for the organization to determine. The decision to apply a management system standard to an organization is typically determined by customer and other interested parties’ demands, or by an organization’s internal need for systematic control and improvement. Organizational, interested parties or customer needs drive the implementation of management system standards. These decisions may include implementation of multiple management system standards. Since individual management system standards focus on different scopes and objectives, this may lead to separate implementation of the standards in the organization. This Handbook encourages the integrated use of multiple management system standards. Approach Organizations may determine which management system standards are necessary, based on industry, global and societal influence. For example, ISO 9001 is one of the most widely known standards for Quality Management. ISO 14001 was developed as a standard for environmental management. There are many other widely‐used and recognized management systems standards, including:
ISO 37001 – Anti‐bribery,
ISO 45001 – Occupational Health and Safety, and
ISO 50001 – Energy management
Several industries have developed management system standards which contain requirements that are specific to a that industry. Examples of such standards, sometimes referred to as sector specific, include:
TL 9000 – Telecommunications,
AS 9100 ‐ Aerospace,
IATF 16949 – Automotive, and
SA 8000 – Social Responsibility
The decision to choose a management system standard or to implement multiple standards is driven by the objectives of the organization. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Jim the Baker
A.2.2 Cases-In-Point Orbital Gas Systems Orbital Gas Systems, operating within the infrastructure industry, responded as follows to the survey question “What are the Standards used to achieve?”: “Clients will not do business with us unless we have certification to ISO 9001, ISO 14001 and Achilles UVDB Verify” Waiward Steel Waiward Steel, operating within the manufacturing industry, responded as follows to the survey question “What are the Standards used to achieve?”: “At first, it was due to customer demand. Now, they are used as part of a continual improvement platform” Aurecon Aurecon, operating within the engineering services industry, responded as follows to the survey question “What are the Standards used to achieve?”: “Standardisation across the business and implement continuous improvements” Practice questions
Where is the demand for a management system standard coming from?
How will application of a management system standard improve business value?
How will application of a standard help your organization to meet interested parties’ needs?
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2.3 Application of management system standard requirements 2.3.1 Relationships of management system standard requirements to the organization’s management system Guiding questions
What management system standard requirements are important to your organization?
What is the effect of the requirements on your organization?
How do the requirements affect the efficiency of your organization?
Overview Typically, there are two primary reasons why organizations choose to implement management system standards:
The organization is confronted with a specific request by an interested party;
For improvement and in anticipation of future interested parties’ demand.
An organization needs to understand:
how its business needs relate to the requirements of the management system standard,
how the organization’s existing management system addresses them, and
which interested parties are affected.
It is up to the organization to determine the level of importance of the standard to its specific business or function. Approach There are different ways to approach how standards’ requirements are applied. They all have several things in common including an understanding of:
The purpose of the requirement;
The internal areas affected by the requirement;
The external interested parties who affect the requirement.
The Survey results illustrate how different organizations looked at their own needs and implemented specific management system standards to address them. Jim the Baker
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Cases-In-Point Waiward Steel Waiward Steel responded as follows to the survey question “How did you show the relationship of your organization's processes to the requirements on an ISO or non‐ISO MSS?”: “We established an IMS Manual” SunPower Corporation SunPower Corporation’s response to the survey question “How did you show the relationship of your organization's processes to the requirements on an ISO or non‐ISO MSS?”: “Requirements are built into the EHSQ Manual sections and the high-level processes are cross referenced in appropriate sections” MRS A description related to the management system standards from the MRS’ “HSE Management System” document. “3.2 HSEQ Standards The HSEQ standards are subordinate to the core and process elements and other documents such as procedures, instructions, forms and registers will be developed relevant to each specific standard.” Practice questions
What is the impact of standards on your organization’s management system?
What part of your organization is responsible for implementation?
Who are the interested parties?
What functions are affected?
What is the relationship of the standard requirements to the functions and the interested parties?
2.3.2 Implementation of management system standard requirements Guiding questions
What are the requirements of the standards?
How are the requirements stated in the standards?
How are these requirements met by your organization?
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Overview Many management system standards requirements are related to the organizational structure, such as, leadership, commitment, provision of resources, communication and interactions between the processes and specific activities associated with the processes. A typical approach of an organization is to assign process owners to understand this relationship and performance of their processes and the management system standards. Approach The requirements are stated in general terms such as “the organization shall” or “top management shall”. They refer to actions that must be taken by management, or must be included in the processes, for example:
“The organization shall define the criteria and scope of each audit”. The process owner needs to include this task in the process and ensure the audit criteria and scope are defined for each audit.
“The organization shall retain documented information on the management system objectives”. The process owner needs to include this task in the process and ensure that management system objectives are documented and retained.
The results of the Survey illustrate the ability of organizations to utilize the High Level Structure as a means to understand and map the requirements across multiple standards without necessarily requiring a change to the overall content of their management system (see Annex B, Q13). Jim the Baker
A.2.3.2 Cases-In-Point Aurecon Aurecon’s response to the survey question: “How did you show the relationship of your organization's processes to the requirements on an ISO or non‐ISO MSS?”: “We have a mapping document that lists the ISO MSS requirements and then links to the relevant sections of our methodology” Waiward Steel An excerpt from Waiward’s “IMS Manual”, the “Foreword” section:
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“The integrated management system (‘IMS’) is based on the following standards:
ISO 9001:2015 Quality Management Systems;
ISO 14001:2004 Environmental Management Systems;
BS OHSAS 18001:2007 Occupational Health and Safety Management Systems;
Manufacturers’ Health and Safety Association Certificate of Recognition / MHSA COR Health and Safety Management System;
Alberta Construction and Safety Association Certificate of Recognition / ASCA COR Health and Safety Management System.
AISC 201-06 Standard for Steel Building Structures”
UNAM Excerpts from “stages 3 to 4” of the “Plan for the Implementation of a Quality Management System” of the Metrology Unit (MU) of the Faculty of Chemistry at UNAM. “Stage 3. Definition and analysis of the processes Once confirmed the need to establish a quality system, it was decided to use as basis two standards: NMX-CC-9001-IMNC-2008 and NMX-EC-17025-IMNC-2006. (…) Stage 4. Construction of the philosophical elements of support to the management system Definition of policies, vision, mission and quality objectives of the MU. The definition of this base allowed to establish the essence of the MU, as well as its future visualization.” Practice questions
Are the processes of your organization identified?
Does each process have an owner?
Does the owner of each process have authority and responsibility for process performance?
Are associated tasks and activities clearly defined?
Who is responsible for task performance?
How is it monitored and reported?
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Chapter 3: Integration of Management System Standard Requirements into the Management System
Figure 4: Chapter content diagram The methodology utilized by an organization to make decisions and manage its resources is often referred to as a management system. A management system exists in every organization or enterprise. Some management systems are well defined and understood, and others are not. Management system standards and the related requirements will impact an organization’s management system. The impact of such requirements may be large or minimal depending on the level of implementation and compliance by the organization. In other words, the extent to which an organization meets the requirements may vary. In recent years, organizational needs and interested parties’ demands have increased the necessity to utilize multiple management system standards. Often the organization is faced with the challenge of implementation. Individually implementing each standard is one approach. This singular approach tends to isolate each standard through implementation by functional areas, such as purchasing, customer service, quality or production, in the organization. Such an approach may then lead to sub‐ optimization of the management system. A more effective and efficient approach for an organization is to integrate the requirements of multiple standards into the management system. In this way, the organization cross‐functionally considers the impact of the multiple standards and related requirements. Furthermore, the total organization, including its infrastructure, product and service realization processes, support processes, and interested parties, is considered during the implementation. The purpose of this chapter is to provide guidance, benefits, challenges, and examples for organizations Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) to consider in implementing multiple standard requirements through an integrated approach. ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Although organizations referenced in this chapter are diverse, the important theme connecting all of them is the successful implementation and organizational value achieved by utilizing an integrated approach in the implementation. Two points learned from these examples and practices are:
Integration is the process of unifying requirements of multiple standards into an organization’s overall management system;
The result of integration is a single integrated management system that meets the requirements of multiple standards.
This integration can be done as a project or a series of projects, with each project referring to an implementation of one or more standards and the integration of the related requirements into one integrated management system. Examples of integration projects with different scenarios are shown in Table 3‐1. Table 3-1: Scenarios and examples of integration projects Example Scenario
The organization has…
The organization wants to…
(1) Integrating the use of multiple MSSs that have already been implemented in the organization separately
… ISO 9001 and ISO 14001 … integrate the use of implemented separately ISO 9001 and ISO 14001
(2) Implementation of a new MSS and integration of its requirements into the MS with:
… ISO 27001 implemented … implement ISO 14001
(3) Implementation of new multiple MSSs and the integration of their requirements into the MS with:
(a) a previously‐ implemented MSS
(b) separately‐ … AS 9100 and ISO 14001 … implement ISO 45001 implemented multiple implemented separately MSSs (c) an already‐integrated use of multiple MSSs
… the requirements of ISO 9001 and ISO 14001 integrated into its MS
… add ISO 45001
(a) not previously‐ implemented MSSs
… not implemented any MSSs
… implement IATF 16949, AS9100, ISO 45001, ISO 50001 and ISO 55001
(b) a previously‐ implemented MSS
… ISO 22000 implemented … implement ISO 14001 and ISO 45001
(c) separately‐ … ISO 50001 and implemented multiple ISO 14001 implemented MSSs separately
… implement ISO 27001 and 45001
(d) an already‐integrated use of multiple MSSs
… implement ISO 28000 and 45001
… the requirements of ISO 9001 and ISO 14001 integrated into its MS
Figure 3‐1 shows a flowchart of a generic outline for integration. An integration project can follow the steps illustrated in the flowchart. Once that integration project is completed, lessons learned from it can be used in a subsequent integration project.
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Figure 3-1: Integration outline Whilst there are many ways in which an integration project may be managed, Chapter 3 is organized according to the steps in Figure 3‐1. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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3.1 Lead the integration Guiding questions
How does the organization take the decision to integrate?
What is the importance of leadership in the decision process?
What are the business case considerations for the integration?
Overview The leadership decision to integrate can be based on various attributes, such as the organizational need, strategic or operational necessity, and maturity in implementing management system standards. Understanding the standards’ requirements, realizing the benefits, and considering the consequences for the organization are also important for this decision and for the direction taken in the integration process. The timing of the management decision to take an integrated approach can vary among organizations (see Table 3.1). Some organizations establish this commitment before they implement any standards at all (e.g., scenario 3a). Others see the opportunity for integration after dealing with the updated requirements of an already implemented standard. In some of these organizations, the integration decision can take place after applying a sector‐specific standard on top of an established, generic management system standard. The integration decision can also come at the time when a new standard affects an additional organizational function (e.g., scenario 3c) or focuses on another interested party (e.g., scenario 3b). The process of integrating new standards within an organization may not only be a strategic issue, but also an operational necessity. There is no suggestion here that there is a right or wrong approach. Typically, interested party requirements or a perceived organizational need is the underpinning reason for adopting a standard. In many cases, multiple standards are necessary to meet these requirements or needs and efficiency and effectiveness of implementation are the drivers for an integrated approach. Understanding the current reality or situation of the organization compared to the perceived objective is important in determining strategy. The decision by the organization’s leadership provides the policy, direction and enablers, including planning, resources, accountability, monitoring and communications. Approach Important issues that can be considered in the leadership’s integration decision include context, objectives, interested parties’ needs and expectations, strategy and tactical initiatives. Additionally, the key aspects of the decision to use an integrated approach will generally include:
Justification (proof of the need for integration);
Risks and opportunities (advantages/challenges of integration);
Direction (decision made/policy regarding integration).
The survey results and case examples demonstrate a common theme of benefits to support an integrated approach to implementing multiple management system standards requirements (see Annex B, Q22). Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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The ultimate benefit appears to be the development of the organization’s capacity to have a systematic integration process capable of absorbing any changed or new requirement in a standard, or that received from the customer/interested parties. Additional benefits to the organization include eliminating redundancy, establishing consistency in approach, reducing bureaucracy, strengthening accountability, optimizing processes and resources, reducing maintenance of the management system, consolidation of assessments, reducing costs, facilitating decision‐making and improving performance (see Table 3‐2). Table 3-2: Integration benefits Benefit
Explanation
Eliminating redundancies
An integrated approach to implementing multiple management system standards can result in common or single management system components, i.e., policies and objectives, processes and resources. Examples include single procedures in areas such as training, document control, management reviews, internal audits and improvement. Although the management system standards requirements may have a common intent and meaning, they may be expressed in different words. If the organization’s underlying approach is consistent in understanding the intent and comparing the requirements to its processes, the results can be a more effective and efficient management system. Relating new management system standards to those already implemented in the organization should avoid creating multiple documents or procedures or adding new resources.
Establish consistency
Using an integrated approach facilitates the consistency of the management system. The system is now less complicated and is better understood by everyone in the organization. There is improved focus on achieving a common set of objectives that are important to the organization. Consistency is reflected in:
Communications of policy and direction
Decision making
Setting organizational priorities
Measurement and monitoring
Utilization of resources
Implementing processes, procedures and practices.
This approach provides a consistent framework for use at all levels, functions and locations of the organization. Reducing bureaucracy
The idea of reducing bureaucracy is closely related to eliminating redundancy. The proliferation of multiple MSSs can create a management dilemma for organizations attempting to streamline decision‐making or reduce layers in the hierarchy. A systematic approach with processes that can accommodate or absorb any change or new requirements represents added value to the organization in reducing bureaucracy. Establishing process owners with cross‐functional teams having assigned responsibility and accountability is an effective approach to breaking down barriers to decision making and deployment.
Strengthening accountability
Another effect of integrating management system objectives, processes and resources can be improvement in accountability.
Reducing costs
Reducing maintenance, consolidation of audits and assessments, as well as the optimization of processes and resources can contribute to reducing costs.
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Benefit
Explanation
Optimization of processes and resources
Management system standard requirements do not have to be an added load to the organization, but rather can be a wheel to drive customer, interested parties and the organization’s requirements smoothly and effectively into the organization’s processes. Resources can be optimized because they are now focused on process implementation and adding value rather than additional system maintenance. Innovation is enhanced as the organization learns more about itself and compares its infrastructure to the requirements of the standards. Optimization is achieved where there is, for example, a common process for identification of requirements or management review instead of one for each standard, or usage of consolidated resources for training.
Reducing maintenance
Maintenance refers to ensuring compliance and upholding the intent of management system standard requirements. Compliance with multiple standards needs to be maintained concurrently. An integrated approach streamlines the process, allowing an organization to focus its improvement efforts rather than maintaining multiple individual systems. This is particularly important in the maintenance of information systems. Another example is maintaining a single internal auditing procedure and as part of the integrated approach versus individual procedures for each standard.
Consolidation of audits and assessments
When there is an integrated management system as the foundation, the organization can consolidate internal audits and/or assessments. As a result, there is less work interruption and potentially less time needed for internal audits or assessments. Interrelationships among the processes are better understood and managed, which can lead to more in‐depth audits or assessments. Separate management system audits or assessments drive a functional response to the findings and often those findings do not identify linkages between processes. With the integrated approach, management system audits and/or assessments place the linkages of processes as a high priority and often identify critical system failures.
Facilitating decision making
By eliminating redundancy and establishing consistency, the organization has a more complete view of the functional needs and performance of the business. This integrated approach enables the organization to break down functional and department barriers to improve communication and decision making.
Improving performance
Integrated use of management system standards can have a positive impact on specific management system components and outcomes, such as quality, safety, risk, and productivity.
Jim the Baker
A.3.1 Cases-In-Point Bosch Bosch decided to integrate after management system standards had been implemented. Waiward Steel Waiward Steel leadership team described within their IMS Policy Manual, the reason for rationalizing multiple management system standards as critical to their service delivery strategy. “Waiward has integrated its existing Health, Safety, Environmental and Quality management systems in one coherent Integrated Management System (IMS)... It makes good business sense to have a single integrated Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) management system to better manage our HSEQ policy,2019-04-08 objectives and obligations.” ISO and Storeimplement Order: OP-360372 / Downloaded: Single user licence only, copying and networking prohibited.
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Orbital Orbital’s response to the survey question: “What are the Standards used to achieve?” “Clients will not do business with us unless we have certification to ISO 9001, ISO 14001 and Achilles UVDB Verify” Practice questions
Where are the opportunities and synergies in your organization to achieve real benefits?
What are the key issues that leads to significant costs?
How do the key issues result in significant costs?
What is the hierarchy in terms of priorities?
3.2 Determine the scope of integration Guiding questions
Which standards will be implemented?
In what order will the standards be implemented?
How will the integration affect organizational functions and the management system?
How strongly, or to what depth in the organization will different components of the management system be integrated?
Overview Upon making the decision and ensuring the commitment to integrate the requirements of multiple standards into the management system, the organization’s top management commonly establishes the scope of the integration process. This involves identifying the specific standards to be implemented and the related timing and other issues, as well as determining the impact of integration on the existing management system. Case study organizations featured in this Handbook have applied different standards, in different orders, with differing levels of integration among processes, objectives and resources used in their management systems. This illustrates a wide variety of possibilities in the selection of the most appropriate scope of integration for each organization. The choice of the specific standards to be implemented in an integrated manner, and the implementation sequence, depends on many issues, including organizational priorities and interested parties’ demands. There are situations in which organizations must react to interested parties’ requests to comply with their requirements for certain standards and therefore implement these first.
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On the other hand, an internal proactive quest for an improved performance in a functional area or overall in the organization can also lead to the application of management system standards. The case examples also show that organizations have embarked on integration due to their internal needs for better effectiveness and efficiency, without specific interested parties’ pressures. In addition, the organizational aspects of integration need to be determined at this point, including the specific objectives, processes and resources of the management system selected for integration, the strength of such unification in each case, and the hierarchical levels, products and locations impacted by the integration. Some organizations may opt for a complete integration in all management system components. Others may choose a less rigorous approach. Approach Identification of the drivers for the implementation of new standards involves recognizing the external issues and operating environment. In addition, the organization needs to examine its internal mechanisms that may demand or create the opportunity for implementation. Some of these drivers can result from the influence of one or more of the following factors:
Customer requirements: expectation, need or market opportunity,
Internal need or value to the organization: opportunity to improve efficiency or effectiveness of the organization,
Regulation: new or existing legislative or administrative demands from regulatory bodies or government agencies requiring or recommending compliance.
Questions such as the following can assist the organization in determining the impact of integration on its management system (see Annex B, Q12.1, Q12.3, Q21, Q31 and Q32):
Who will be impacted by the integration?
What are the conditions, organizational areas and processes involved?
What documented information will be integrated?
How will the resources for the integrated and function‐specific processes be provided, including financing?
What parts of the organization will be impacted by the integration?
Which locations and products will be impacted?
When will integration be implemented and accomplished?
Depending on the size of the organization and the scope of its management system, the implementation may be done incrementally or organization‐wide immediately.
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A.3.2 Cases-In-Point Reliance Hexham Reliance Hexham implemented three standards, namely ISO 9001, ISO 14001 and the Australian/New Zealand standard for occupational health and safety (AS/NZS 4801). Their response to the survey question: “In what sequence did you implement the standards?” was: “9001, 4801, 14001” FCC In their response to the survey, FCC listed 13 implemented standards being ISO 9001, ISO 14001 and ISO 50001, as well as sector‐specific and national standards, for example UNE 166001 (innovation, research and development). Their response to the survey question: “In what sequence did you implement the standards?” was: “9001, 14001, Madrid Exelente, 18001, 10005, 166001 R&D, 14064-1 GHG, 27001, 31000, 50001, 139803, 17001, 73401, 15896” CEPSA CEPSA’s response to the survey question “What external ISO or non‐ISO Standards are integrated within your management system”: “Standards (list):
ISO 9001; ISO 14001; ISO/TS 16949; ISO 50001. In addition (not integrated with previous): OHSAS 18001 (developed in all our facilities); FSSC 22000 (ISO 22000); ISO 17027 (Laboratories), ISCC/RBSA (Sustainability of biofuels), EFR (Family-friendly company), SIGES (Healthy company)
Regulations (list): EMAS, PECAL 2120 (Spanish Defense Ministry), Quality of service and environmental performance in Maritime Terminals (Spanish State Ports), EN-13924/EN-12591/EN-13808/EN-14023 (Asphalt CE Marking) In what sequence, did you use standards? 1st priority: OHSAS 18001/ISO 9001/ISO 14001 2nd priority: ISO 50001, EMAS, ISO/TS 16949, PECAL, Maritime Terminals, ISCC/RBSA, Asphalt CE marking 3rd priority: (the rest)” Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Practice questions
Which standards will be integrated and where will you start?
Where in your organization would it be appropriate to apply them?
How many people are needed on the team?
What other resources are needed?
How long will it take?
3.3 Plan the integration Guiding questions
How can project planning be used to launch and manage the integration?
What are the elements of a project plan for the integration?
How – where – when – by whom will the integration be accomplished?
Overview Once the organization has established the scope, it needs to plan for the integration, including the related risks and opportunities. Although there are many ways to successfully accomplish this, organizations have had success using a project approach to integration. This approach is advantageous for organizations regardless of their integration maturity. For instance, organizations that are just embarking on the integration process can get started more effectively and efficiently if they undertake a project to unify the application of the existing management system standards. On the other hand, organizations that have already accomplished integration can also use this approach to apply new standards into their integrated management system. Approach The typical characteristics of a successful project plan include:
Owner: Who owns the project? An identified individual(s), from the organization, who is responsible for launching and implementing the project.
Project committee: A cross‐functional team made up of individuals having the skills, knowledge and availability to complete the work.
Project leader: This should be someone with experience of improvement projects. This may or may not be the same person as the owner.
Communication strategy: Organizational awareness and consistency with strategic direction. The way an organization communicates depends on issues such as the organizational structure, number of employees, and number and location of sites. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Risks and opportunities: Related to the integration project.
Resources: Including competent personnel and appropriate facilities, access to systems, information, supporting materials and equipment.
Integration activities: The detailed steps, with assigned roles and responsibilities, and a timeline required to realize project objectives. The steps provided in this Chapter and the corresponding sections are listed below. o
Define or design the management system model that will accommodate the scope of integration. [Subsection 3.4.1]
o
Structure or configure the standards requirements to be integrated into the management system, for example the common versus the unique. [Subsection 3.4.2]
o
Map or link the standards requirements against the organization’s defined management system (processes). [Subsection 3.4.3]
o
Analyze gaps including identifying the level of conformity and integration or the absence of the organization’s processes to meet requirements. [Subsection 3.5.1]
o
Close gaps: [Subsection 3.5.2]
Is a new process/procedure required? Integrate it into the organization’s management system
Does an existing process/procedure need to be modified? Assure consistency in the organization’s management system
Are there implementation or integration failures, including a lack of understanding? Corrective action should be focused on how the organization’s management system can be impacted or improved.
o
Verify that the gap closure is working. [Subsection 3.5.3] Monitor the effectiveness of the corrective action.
o
Measure, monitor, and continually improve by determining the key process indicators and reviewing performance and progress. Management review is critical in tracking progress and making plan/policy adjustments. [Section 3.6]
o
Focus on learning by identifying and realizing opportunities for more effective and efficient integration. [Section 3.7]
Jim the Baker
A.3.3
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Cases-In-Point Waiward Steel Waiward’s description of activities related to integration planning: “● Waiward's COO, the senior manager championing the move to an IMS, initially set the company on this path to eliminate waste in terms of overlapping MSSs, and to make Waiward more competitive; ● By the time Waiward started down the path toward an IMS, the company was certified to ISO 9001
for many years, Alberta Manufacturers Health and Safety Association's COR, and the Alberta Construction Safety Association COR; ● The plan was to integrate these three management systems (and their MSSs) with an IMS compliant
with OHSAS 18001 and ISO 14001; ● The COO gave the responsibility for executing this work to our IMS Team, under the direction of the
Corporate HSEQ Manager;” Reliance Hexham An excerpt from the Reliance Hexham’s response to the survey question “What have been the benefits of integrating?”: “(…) updating to integration with the new standards and high-level structure will streamline the system.” UNAM A laboratory at UNAM used the following ten “stages” for integration: “Stage 1. To make the commitment Stage 2. Analysis of the situation Stage 3. Definition and analysis of the processes Stage 4. Construction of the philosophical elements of support to the management system Stage 5. Documentation of system elements Stage 6. Training, dissemination and understanding of the system Stage 7. Implementation of the quality system elements Stage 8. Validation of the implementation Stage 9. Quality assurance Stage 10. Obtaining certification and accreditation” Practice questions
What is your plan to accomplish the integration?
Where do the resources come from?
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What are the elements of your project plan?
What specific problems can be solved?
To whom will the plan be communicated?
3.4 Connect the management system standard requirements and the organization’s management system 3.4.1 Structure the management system Guiding questions
Which model is appropriate for your organization?
How are management system processes, resources and objectives organized to integrate management system standard requirements?
What tools are used to adapt the organization’s management system to achieve compliance with a specific management system standard?
Overview The first step in linking standards’ requirements with the organization’s management system is to consider the relationships among the different processes, resources and objectives of the organization. This involves understanding the connection of the product and service realization processes with the support processes, as well as with the needs of interested parties. Using this understanding, organizations can consolidate the standards’ requirements into their management system. The management system structure established above provides the foundation for defining and documenting the management system. In addition, the relationship of the standards to the organization’s management system can be described using this structure. The processes, resources and objectives can be addressed in the corresponding procedures and other documents. Cases in point given in this section illustrate how different organizations described and documented their management system. Approach Each organization can structure its management system in its own unique way. Some organizations develop “integrated management system models” by adapting or combining different models or approaches that exist in specific standards. Two such examples are the “Process Approach” or the “Plan‐Do‐Check‐Act Cycle” approach of ISO 9001 and ISO 14001. Others have comprehended their management systems with the help of process maps, which they subsequently used to connect different standard requirements. Common to all the featured cases in point is that they all used a structured, single management system as the basis for integration. However, there were variations in how the organizations achieved a single management system. The most important point is that all the approaches were driven by the understanding and focus on the underlying system of the organization. An organization manages its activities, resources and objectives through a set of interrelated processes. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) The organization can address the requirements of multiple standards by relating and connecting them ISO Store Order: OP-360372 / Downloaded: 2019-04-08 with this integrated arrangement of processes. In many cases, the relationship was defined by mapping Single user licence only, copying and networking prohibited.
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the requirements against the organization’s processes, i.e. the underlying system. Because the product and service realization processes represent the essential backbone of the management system, they are also commonly used as the basis for integration. Various case studies illustrate the use of the process approach in integration. Jim the Baker
A.3.4.1 Cases-In-Point UNAM An illustration of the management system structure at a laboratory at UNAM:
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CEPSA An illustration of CEPSA’s management system structure in the managing of occupational health and safety, environment, quality and energy (HSEQE) is provided below. The organization of the CEPSA system details four key components of the management system and illustrates the interrelationships between these components and their processes. Specifically, CEPSA have detailed their management system to include their ‘management responsibility’ (objectives), ‘product realization’ (processes), ‘resource management’ (resources) and ‘measurement, analysis and improvement’ (performance feedback).
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FCC Construction An illustration of eight groups of processes within the management system of FCC Construction:
Practice questions
How is your management system structured?
Does the current management system include any requirements from standards?
How would you integrate multiple standard requirements into your organization?
What structure of your MS would enable an integrated approach?
Are there changes needed in the current structure to accomplish integration?
3.4.2 Structure management system standard requirements Guiding questions
How can the management system standard requirements be analyzed for commonalities?
Can some specific standard requirements be unified?
How can requirements that have commonalities but are not identical be integrated?
Overview After identifying the management system structure, organizations need to analyze the management system standard requirements to be integrated. These requirements may come from one or more standards. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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The analysis of standard requirements is accomplished by first comparing the requirements of any new standard with the requirements that are already established in the management system. Subsequently, the requirements found to share the purpose, meaning and content are fitted into the management system (e.g., objectives, internal auditing and management review). These requirements may be found under the same clause titles for ISO management system standards (see ISO/IEC Directives Part 1, Clause SL.9). Requirements that are deemed specific to the standard also need to be addressed and included in the management system (for example, requirements from 7.1.6 “Organizational knowledge” in ISO 9001, 4.4.5 “Energy Performance indicators” in ISO 50001, and 8.3 “Outsourcing” in ISO 55001). Each time a new standard is implemented or changed, the organization needs to analyze the requirements for commonalities and incorporate them into the management system. Integration of new or changed requirements can bring changes in the processes, resources and objectives of the management system. However, this does not change the underlying structure of the management system. The identification of commonalities and unique requirements provides an effective and efficient approach to integration. The question the organization needs to answer during its analysis is whether it has processes that address common requirements as well as those that are unique or specific. Analysis of the commonalities allows the organization to improve efficiency and eliminate redundancy. Analysis of specific or unique requirements assures that the organization also has processes in place to address and incorporate these. Approach Organizations have applied different methods to structure management system standard requirements. Generally, the following steps can be used:
Understand the standard to be implemented in the organization, including its purpose, application, context and content.
Determine the requirements that will be applied in the organization.
Determine the commonalities of requirements in the multiple standards to be incorporated. The requirements that are presented in the clauses of standards with similar, common or identical titles may provide a starting point for the identification of commonalities.
Adopt a method of harmonizing requirements that are common in intent but not identical in content. Where there are differences, the organization needs to decide to incorporate either the most comprehensive or the minimum shared level of detail as the basis to integrate the requirements.
Incorporate the requirements found to have commonalities into the management system structure.
List the requirements specific to the organizational function or area covered by the standard.
Connect and incorporate the identified specific requirements into the management system structure.
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Jim the Baker
A.3.4.2 Cases-In-Point Plexus Corp Plexus uses a “Standard to Standard Comparison Tool” to analyze commonalities between the requirements of management system standards.
Informatica El Corte Ingles Informatica El Corte Ingles’ response to the survey question “What lessons were learnt or challenges found integrating your management systems?”: “Before Annex SL, you had to be cautious in considering every single req. from each standard included in the integrated MS. At the end, you must comply with the requirements of the most strict standard (in our case ISO 27001)” UNAM UNAM showed the correlation between the requirements of standards and the management system “activities”, including the people “responsible”, the timeline, the “communication way” and “deliverables”, in their plan.
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Practice questions
What are the management system standard requirements that need to be applied in your organization?
How do you determine commonalities with the requirements from existing standards or new standards to be implemented?
How will the organization incorporate requirements that have commonalities?
Which requirements are specific to the organizational area or function addressed in the standard?
How are they to be incorporated into the management system?
3.4.3 Map management system standard requirements against the management system Guiding questions
How do the standard requirements connect to or fit into your organization’s existing management system?
How do the standard requirements impact your organization’s processes, resources and objectives?
What integration opportunities that can be identified from the mapping?
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Overview The challenge for the organization is to understand how the standard requirements fit into its management system. A further question to be answered is where value can be added by modifying the management system to accommodate the standard. It is therefore necessary to analyze the standard requirements against the management system processes, resources and objectives. This analysis is called mapping. Mapping is useful in eliminating the creation of separate standard‐focused systems in the organization, minimizes unnecessary redundancies and maximizes synergy. The mapping of standard requirements against the organization’s management system should be performed every time a new standard is integrated into the organization. This step is equally useful to all organizations, regardless of the maturity of their integration activities or the scope of integration. In situations where the requirements of two or more standards are being integrated at the same time, mapping provides an efficient approach by focusing on the determination of commonalities among these standards and their unification into the single set of processes of the organization’s management system. The examples show that where organizations had separate management systems to address the requirements of multiple standards, use of mapping enabled them to identify the overlaps. Because mapping makes it easier to comprehend and integrate the requirements of additional standards, it is also beneficial for the organizations with only one implemented standard, as well as for those having already integrated the requirements of multiple standards into the organization’s management system. Organizations can start from different perspectives and objectives. Generally, organizational processes drive the mapping, with similar results as to the value provided to the organization. The focus should be on:
Detecting non‐value‐adding processes
Identifying redundancies in the processes
Determining the minimum processes needed by identifying the ones necessary to: o
Satisfy standard requirements, and
o
Do business
Establishing the level of commonality in standard requirements
Considering whether new standard requirements:
o
Are already covered in the existing processes
o
Can be addressed with an adaptation of existing processes
o
Require an addition of new processes
Analyzing the possibilities for further integration of standard requirements into the organization’s management system.
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Approach Many methods exist for the mapping of the requirements of management system standards against the management system of the organization. Each organization featured in the handbook has selected the approach that they determined to be the most suitable, depending on its situation and integration objectives (see Annex B, Q17). Some organizations have used the matrix approach. This technique involves placing the requirements of the standards to be incorporated in the organization against the management system in a matrix, and subsequently denoting the relationship between each requirement and each component of the management system. Others have linked these two by overlaying the common requirements on top of the management system structure and then linking the specific requirements with the corresponding components of the management system. Regardless of the approach used, organizations have performed this mapping to identify the impact of the requirements on the management system, and to integrate them more effectively and efficiently. As an example, a matrix approach for mapping Management System Standard (MSS) requirements against the processes of the Management System (MS) is shown in Figure 3‐2. Such mapping requires knowledge of both the requirements and the organization’s processes. This often demands collaboration through input and judgment of the process owners. It is particularly important to determine the possibilities for integration in both the requirements and the impacted processes. The matrix can subsequently be used as a tool to assess the current state of the organization’s management system in applying either new or existing standard requirements. The horizontal strip on the matrix below refers to a listing of requirements that have commonalities and that impact the same or similar processes. The vertical strip relates to the identification of processes, procedures and other resources that are truly necessary versus those that are redundant. For an example of a matrix, see Figure 3‐2.
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Figure 3-2: Matrix approach for mapping MSS requirements against the MS processes Jim the Baker 168B
A.3.4.3 95H
Cases-In-Point 169B
Sunpower Corporation SunPower Corporation’s response to the survey question: “How did you show the relationship of your organization's processes to the requirements on an ISO or non‐ISO MSS?”: “Requirements are built into the EHSQ Manual sections and the high-level processes are cross referenced in appropriate sections”
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FCC Construction An example from FCC Construction’s approach of mapping standards requirements against their management system:
Waiward Steel Waiward showed the correlation between the requirements of standards and the management system components in the sections of their “Integrated Management Systems Manual”.
Practice questions
When reviewing your organization’s processes, resources and objectives against the requirements of a single standard first and then multiple standards, where do you find integration opportunities?
When reviewing standard requirements that have commonalities, how are these requirements being met in your organization’s processes, resources and objectives?
Following the question above, what is the degree of integration among different organizational functions that are impacted by the commonalities?
When reviewing requirements specific to a standard, which process would be impacted?
Following the question above, are new processes needed, and if so, how can your organization best integrate these requirements into their management system?
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3.5 Incorporate the management system standard requirements into the organization’s management system 3.5.1 Identify and analyze gaps Guiding questions
Are there standard requirements that are not addressed by the organization’s management system?
Where are the gaps between the standard requirements and the management system?
What is the extent of any gaps?
What is the extent of actions needed to achieve compliance and more effective integration?
Overview The previous section demonstrated how mapping established linkages of the organization’s management system with the corresponding standard requirements. The next step is to identify and understand the extent of the differences between the existing management system and the requirements given in the standards. Such gaps can be eliminated later with appropriate policy, process, procedure or practice. It is also important to assess the level of integration accomplished once the requirements have been incorporated into the organization. Following this analysis, it will be possible to further minimize redundancies and unnecessary activities and resources. Gap identification and analysis is a comparison of multiple sets of standard requirements against the management system of the organization. This includes an understanding of the organization’s defined processes, resources and objectives, and to what extent they comply with the requirements. For example, there may be documented information that addresses the standard requirement, but its implementation has not been effective or cannot be demonstrated. Identifying and analyzing gaps can also provide important feedback relative to the extent and effectiveness of an integrated approach in an organization’s management system. For example, there may be duplication in processes that are impacted by the same standard requirement. Understanding and analyzing the processes, including the related resources and objectives of the organization, is the first important step. The next step is to compare the standard requirements with the organization’s product and service realization processes, in addition to their support and other processes, to understand their impact and related risks and opportunities. This can be achieved by using a variety of tools and techniques, including matrix diagrams. The gap analysis is a key step in the integrated approach because it allows the organization to adopt any new or changed requirements. This is regardless of whether the requirement comes from the interested parties or a standard. Approach Organizations can have different levels of compliance with the related requirements of one or more standards. For example, ISO 9001 and ISO 14001 require that documented information be created and retained to monitor quality and environmental performance, respectively. An organization may find that it has a variation in the compliance levels for the documented information related to the Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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environment, compared to such information with respect to quality, based on Clause 7.5.3, “Control of documented information” of ISO 14001 and ISO 9001, respectively. A gap analysis can help answer some important questions. Is there an organizational practice to address control of documented information, particularly for quality or environment? To what extent is the documentation practice compliant with the organization’s objective to meet the requirements of ISO 9001 and 14001? An organization may utilize an integrated internal audit to help identify the gaps in their practice related to these standard requirements. An organization should identify and analyze gaps each time a new standard or other requirement is introduced in the organization. If two or more standards are being incorporated at the same time, the organization can take an integrated approach and perform a common or joint gap analysis against multiple sets of requirements. The organization’s defined processes and their relationships to the management system standard requirements are critical inputs in gap identification and analysis. In addition, other inputs may include management system documentation, a matrix of management system standard requirements and a gap analysis plan. The identification and analysis of gaps is not an easy task because it requires skills and collaboration across the organization for agreement on the defined processes and the relative impact of the management system standard requirements. It is possible for an organization to individually adopt or incorporate the requirements of standards into its management system and perform a gap analysis. A more effective and efficient manner is to do this through an integrated systems approach. The gap analysis essentially follows the steps that are relevant to typical management system audits and self‐ assessments: 1.
Identify and understand management system standards requirements.
2.
Collect and verify information regarding the management system.
3.
Compare the management system information with the requirements for evidence of compliance.
4.
Identify the opportunities for integration, including overlaps and synergies: (a) across the requirements from different standards, and (b) across the different components of the management system (e.g., processes, resources and objectives).
The output of a gap analysis is a report of the findings from steps 3 and 4 above, either is a summary or a detailed form. A summary gap analysis report may include:
Purpose of the gap analysis,
Gap analysis approach,
Summary of findings, and
Recommendations.
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A detailed gap analysis report may include:
Completed gap analysis matrix,
List of management system standard requirements analyzed,
Processes examined,
Documented information reviewed,
People interviewed,
Findings, including integration opportunities, and
Actions necessary to close the gaps, including resources and timing plans.
Gap identification and analysis requires collaboration throughout the organization as well as an understanding of the defined processes and applicable management system standard requirements. The defined product and service realization processes of the organization will define the mainstream plan for developing a gap analysis. This approach establishes the overall picture of the organization’s management system. The task can then be broken down into components, such as defining the procurement process and conducting a gap analysis of applicable management system standard requirements regarding conformity and integration opportunities. In the procurement example, knowledgeable resources active in the sourcing process will be important to the collaboration. A generic example of the principles described above is illustrated in Figure 3‐3.
Figure 3-3: Example of an MSS requirements - MS processes gap analysis matrix Jim the Baker
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Cases-In-Point MRS An excerpt from a description of “Step 5” from the MRS’ “HSE Management System” document. “3.1.5 Measure and Evaluate Performance – (Step 5) (…) We will measure and evaluate the adequacy of our systems and processes and include legislative references, company objectives/ requirements into our systems and processes. Techniques for measurement and evaluation may include:
Adequacy audits – internal and external ”
Waiward Steel Waiward’s description of activities related to gap identification and analysis: “● Initial work included developing a matrix of the five MSS being integrated, and conducting an internal audit/assessment to confirm the sections of this IMS Matrix where Waiward was compliant (i.e. we developed a gap analysis);” Johnson Controls An illustration of the “Johnson Controls Manufacturing System (Workflow)”:
“● JCMS has a specific workflow that has been deployed to more than 130 manufacturing locations worldwide ● The JCMS maturity model is used as a roadmap for a plant to assess the gaps between current
manufacturing practices and JCMS model for excellence”
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Practice questions
How well do your organization’s processes comply with the requirements of single or multiple standards?
What did you find interesting or useful if your objective is to comply with the requirements of multiple standards?
When reviewing standard requirements that have commonalities, to what extent are your organization’s processes, resources and objectives integrated to meet the requirements?
3.5.2 Close the gaps Guiding questions
What new process, resources and objectives are required to close gaps?
What needs to be modified to close the gaps?
How can causes of the gaps be eliminated?
Can multiple gaps be closed through common corrective or improvement actions?
Overview The organization needs an agreement on the gaps that exist and a plan for their closure. This plan should include identifying objectives and indicators. Identified gaps may be the result of failures, such as an incomplete understanding of how to apply a requirement of the standards. There may be systemic weaknesses that relate to broader organizational issues, such as insufficiently‐defined interrelations between processes or an absence of processes to address the standards’ requirements. Opportunities for improvement related to the integrated use of standards may also exist. Typical steps in gap closure may include:
Determine corrective and improvement actions: Based on the gap analysis findings, identify the components of the management system affected and determine the actions needed to close the gaps. Examples of actions include developing the required processes and documented information or providing education and training.
Perform corrective actions: This should involve a change in the components of the management system to conform with management system standard requirements.
Perform improvement actions: This should involve addressing integration opportunities by integrating multiple management system standards requirements or multiple management system components into a single component, e.g., combining multiple processes for control of documented information into a single process or unifying function‐specific policies.
Following gap closure, verification regarding whether the steps above have been implemented and sustained over time is performed. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Approach There are several kinds of gaps, including: a.
The management system does not fully meet the management system standard requirement.
b.
There is no management system component that addresses the management system standard requirement.
c.
There is an opportunity for improvement in the integration.
The integrated approach is to:
Focus on the organization’s processes.
Evaluate the management system with respect to whether a management system standard requirement is new or is already used.
Decide on the action to close the gap. Some possibilities include: o
Amend the existing management system component (e.g., a process, resources and objective) to fulfil the new management system standard requirement
o
Replace the existing management system component
o
Add a new management system component, after reviewing the opportunities for combining with an existing management system component.
Jim the Baker
A.3.5.2 Cases-In-Point Johnson Controls Johnson Controls’ description of an activity related to gap closure: “● Subject Matter Experts are designated to coach the local functional experts through the assessment process and most importantly, to work with the plant to develop formal action plans to close the gaps to higher levels of maturity” UNAM Excerpts from “stages 5 to 6” of the “Plan for the Implementation of a Quality Management System” of the Metrology Unit (MU) of the Faculty of Chemistry at UNAM.
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“Stage 5. Documentation of system elements The document where the MU makes evident how the requirements of certification and accreditation are met, is its Quality Manual. The Quality Manual is constructed by following the numerals of the official standard 17025, and throughout the document it is indicated in brackets to which numerals correspond to the standard 9001. (…) Stage 6. Training, dissemination and understanding of the system. All UM staff, including academic, technical and administrative staff, are considered. (…)” Waiward Steel Waiward’s description of activities related to gap closure: “● The IMS Team developed individual action plans to close each individual gap discovered, mainly in the ISO 14001 sections (where Waiward had not developed a MS previously)” Practice questions
How does your organization adopt a new standard, or a new or changed requirement?
How well does the organization understand the application and impact of management system standard requirements on its key and support processes?
What is the level of organizational conformance in satisfying each of the requirements?
What is the plan for closing the gaps?
3.5.3 Confirm gap closure Guiding questions
Is the gap closed?
What was the method used to verify for gap closure?
Is the gap closure sustained and not a temporary fix?
Are there other areas or other systems in the organization where the gap closure might apply?
What is the method for monitoring and management review?
Overview Performance of the organization’s management system over time is the true indicator of whether the management system is working successfully. There are internal measures within the organization that can be lead indicators of organizational performance versus objectives. The organization needs to look at the processes, resources and objectives, and their linkages across functions and multiple management system standards requirements. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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To confirm the closure of any gaps and to sustain improvements, the organization should review the outcomes through the internal audit and management review processes. Once the gap is closed, it is important to verify the continued implementation of the gap closure actions and their benefits. Approach The organization can use internal or external assessments to determine whether initiatives including gap closure processes are working and effective. Management system standard requirement assessments provide important clues and direction to the organization in determining its performance level and whether the corrective action is effective. After the actions have been implemented, an internal audit or self‐assessment focused on the identified gap and the related corrective action can be conducted to ensure effective, efficient and full implementation (see Annex B, Q26, Q27, and Q28). Jim the Baker
A.3.5.3 Cases-In-Point Johnson Controls Johnson Controls’ description of activities related to gap closure verification: “● There are formal processes in place to monitor, track, and report on the actions for closure ● The continual assessment process verifies the closure of actions and the associated achievement of
the manufacturing practices that represent higher levels of maturity” Waiward Steel Waiward’s description of activities related to gap closure verification: “● As gaps were closed, the IMS Team completed internal audits to obtain objective evidence of the system functioning; ● Where relevant (ISO 9001, MHSA COR, ACSA COR), external audits were also completed on the
system;” UNAM A description of how the Metrology Unit (MU) of the Faculty of Chemistry at UNAM uses audits and management reviews: “Stage 8. Validation of the implementation In both accreditation and certification audits are carried out by the corresponding accreditation body and certification bodies. In these exercises, compliance with the applicable regulation is monitored. Annually there are also two internal audit exercises, one for standard 9001 and one for 17025. Each area coordinator and section head, reports on their activities considering the elements that the coordination of Licensed to AMERICAN REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) the MU defines and TRUST requires, to integrate and use them as a basis for their own review. ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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Stage 9. Quality assurance. Management review is the most important exercise performed at MU. It is performed by senior management and gives the guideline to review the state of processes and products as well as services. The exercise identifies training needs, improvement actions and strategic decisions in the course of the activities of the MU.” Practice questions
How does your organization plan to verify the gap closure actions?
What method would your organization use?
How would you start the verification process?
What outcomes would you expect?
3.6 Maintain and improve integration Guiding questions
Are there activities in place to monitor continued conformance?
How is the integrated management system reviewed regularly for successful performance?
What activities are in place to improve the integrated system?
How are new or changed requirements determined and incorporated?
Overview After an organization completes the gap analysis and successfully closes the identified gaps, the next step is to ensure that the requirements of the management system remain properly implemented. The value of integration is reflected in the performance of the organization. Verifying implementation by monitoring and reviewing the system regularly is an integral part of maintaining and improving an effective management system. Test the management system for success by:
Checking for continued top level management commitment, for example, with management reviews, and
Reviewing and updating documentation so that targets and measurements are reported, and risks and opportunities are acted upon.
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Improve the management system by:
Looking for areas to add value,
Looking at better ways to use resources, and
Checking to see if it is integrated as much as possible.
These are just a few examples of maintenance activities. Maintain what you have and change when necessary to meet the objectives and continually improve the management system. Careful consideration should be given when making changes in order to ensure that the changes realize the benefits in a sustainable manner. Monitoring also includes the organization’s awareness of new and changing requirements that come from interested parties, both internal and external. The objective is to sustain the effectiveness of the organization’s management system for the life of the organization. This section focuses on the internal activities which can be performed to maintain and improve an effective and efficient management system. The case studies provided include many examples of immediate improvements realized. Maintaining and improving the management system is an ongoing activity. Approach A key factor in maintaining an effective integrated management system is to ensure that the system remains integrated and all the gaps that have been closed remain closed and are sustained. There are several methods which can be used, such as internal audit, self‐assessment, process implementation and validation (see Annex B, Q24 and Q25). Models such as Plan‐Do‐Check‐Act may be applied to the improvement of the now integrated management system. Maintaining and improving an integrated management system to ensure it remains effective over a sustained period is more than confirming it is implemented or simply meeting improvement requirements in the standards. These activities include updating the management system as the operating environment changes and looking for additional integration possibilities. Legal requirements at a local or global level can change, management system standards are updated, new standards that affect a business may be published, and interested parties can influence customer requirements and demands. Awareness of how these changes can affect an organization and implementing them into the processes and procedures of the management system is essential to maintaining effectiveness. Jim the Baker
A.3.6
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Cases-In-Point Waiward Steel An excerpt from Waiward’s “IMS Manual”, the “Check Phase” section: “Waiward has developed a process for the monitoring, measurement, analysis, and improvement of processes needed to:
demonstrate conformity of the product;
monitor the effectiveness of controls;
monitor the extent to which the organization’s HSEQ objectives are met;
address both qualitative and quantitative measures, appropriate to the needs of the organization;
define proactive and reactive measures of performance;
record the data and results of monitoring and measurement;
ensure conformity to the IMS;
continually improve the effectiveness of the IMS.
This includes identifying applicable methods, including statistical techniques, and determining the extent of their use.”
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FCC Construction FCC Construction’s process for corrective and preventive actions:
MRS A description of the step related to maintenance and improvement of their integrated management system from the MRS’ “HSE Management System” document. “3.1.6 Review and Improve (Step 6) Periodic reviews of the HSE System will be undertaken to identify areas for improvement, to re-assess objectives and to facilitate best practice. We will strive to adopt a pro-active approach to HSE Management whilst being prepared to learn from history. These reviews will focus on legislative requirements, MRS amendments/requirements and any other changes to Standards or Codes of Practice that could affect our performance and the associated KPI’s.”
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Practice questions
How does your organization currently monitor the effectiveness of their integrated management system?
Is there an audit, assessment or monitoring method?
Is there a method that provides recommendations for areas of better or further integration?
Does it include assessment of all of the components of the management system as well as the standards?
Have you analyzed your objectives, processes and resources and evaluated improvements from the integration?
How does your organization plan and perform additional improvements?
3.7 Apply lessons learned in the organization Guiding questions
How can the organization improve the application of the integrated approach?
How can improvements be embedded into the integrated management system?
How can lessons learned during the integration be applied to other areas of the organization?
Overview There is no single way to achieve integration or maintain and improve an integrated management system. Organizations have continued to improve their management systems through understanding the results of the integration process. The value and benefits of the integrated approach have been thoroughly addressed in this Handbook. As organizations go through the integration process, there are many lessons that are learned and challenges that may arise (see Annex B, Q30). These lessons and challenges may be used to improve current or future integration projects. In addition, they can be taken as an opportunity to improve other aspects of the organization, including organizational knowledge, which may not have been part of the original integration project. Approach Organizations may learn various lessons during the integration process including the challenges to integration which may have existed for many reasons. Understanding the lessons learned from your organization or by others may help those responsible for the integration. The survey results (see Annex B, Q23) and case examples show different challenges related to integration (see Table 3‐3).
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Table 3-3: Integration challenges Challenge
Explanation
Resistance to change
In some organizations, the structure itself creates a natural resistance to change. For example, functional managers and process owners have different responsibilities, perspectives and approaches that may result in opposition to an integrated approach and its perceived risks. The examples illustrate several ways these obstacles can be addressed by utilizing cross‐functional teams, training or coaching, consistent communication, and management support.
Competence
The right competencies are necessary to effectively and efficiently integrate the requirements of management system standards into the organization. Process owners as well as functional managers and technical experts need to participate in the integration process and understand the standards’ impact. For example, technical experts who understand the processes should work with management system standards experts to incorporate the standards’ requirements into the organization’s processes.
Different professional culture
Coming from different professional cultures, disciplines (e.g., quality, environment, safety, energy, and information security) and experience with management systems and standards can be an issue.
Meeting MSS requirements
Challenges can also be related to the fulfilment of the requirements of customers and other interested parties through an integrated management system.
Sustaining integration
Proactively improving an effective integrated management system is an ongoing activity. One of the important tools for sustainability is expanding the application of an integrated approach to other areas of the business, including new locations and functions. The examples show the need for realistic and ongoing assessments of the integrated management system to uncover weaknesses and incorporate corrective actions and improvements. Assessments also identify strengths and what is working well. Awareness of the external environment and impact on the organization is also important in keeping the MS current and effective.
Jim the Baker
A.3.7 Cases-In-Point Plexus Corp Plexus Corp’s response to the survey question “What lessons were learnt, or challenges found integrating your management systems?”: “Systems thinking is challenging; people tend to address local needs without considering the benefit/risk to the shared QMS used across multiple sites”
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SunPower Corporation SunPower Corporation’s response to the survey question “What lessons were learnt or challenges found integrating your management systems?”: “(1) Do integration in phases. Do not rush or force. Organization may not be ready, people many not be ready, culture may not be conducive. (2) Do not dilute the system, process and control effectiveness for "name sake" integration.” FCC Construction FCC Construction’s response to the survey question “What lessons were learnt or challenges found integrating your management systems?”: “Training is essential when implementing a traditional system; Integration allows very fast deployments; It is necessary to have a thorough knowledge of the organization for the implementation; audit time is optimized; the adaptation of common procedures when a new standard is implemented is crucial; No processes are duplicated.” Practice questions
When considering the lessons learned, how can your management system be improved?
Does the actual integration fit the objectives of the intended scope?
How do the actual benefits compare to the perceived or expected benefits?
Have you been able to reduce or eliminate redundant or non‐value‐added documentation?
How can your organization encourage improvement and innovation in your integrated management system?
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Annex A – Generic Case Study – Jim the Baker A.1.1 Management system features Jim the Baker runs a bakery in the centre of a small town. He started the shop on his own six years ago and has managed to gradually expand. He now employs four people and the business is doing very well. Jim has been successful because he applied some basic principles of systematically managing an organization, although he was not really aware of it. For example, when he started his bakery, the purpose of his business was to provide fresh bakery products and he deliberately chose not only to sell bread and pastries directly to customers, but also to supermarkets. He did so as a result of talking to a number of people in the neighbourhood. While some preferred to buy in a real bakery shop, others wanted to do all their shopping in one location, but still wanted to buy fresh bread and ‘real’ pastries. Based on this identification of customer needs, Jim set some objectives and defined how to best organize his bakery to be able to achieve his objectives and satisfy his clients. This was the basis for the success and growth of his bakery. [Back to main text.]
A.1.2 Organizational context, risks and opportunities When Jim the Baker established his bakery, he looked for information about customer demand for his bakery products, market prices, competition, availability and cost of raw materials and labour, and work environment for his employees. As his bakery grew, Jim thought about improving other aspects of his business, for example reducing energy consumption by using more efficient ovens and mixers, as well as vehicles for deliveries. He is also anxious to meet all the government requirements that apply to his bakery, for example food, health and safety regulations. Therefore, Jim determines that the following groups would show interest in his bakery business: — Customer: the local clients and supermarkets that buy Jim’s bread and pastries. — Government: food regulation, occupational, health and safety law. — Employees: people who produce and deliver the product. — Society: not genetically modified flour and handcrafted baked products. — Suppliers: producers of bakery ingredients and machinery. [Back to main text.]
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A.1.3 Components of a management system A.1.3.1 Objectives Jim’s goals: — Have a comfortable and profitable life. — Make the best bread and pastries in the region. — Have satisfied customers that never complain to me or my staff. — Have happy staff. — Have good equipment that does not break down. — Have fun! Jim’s objectives: — Provide a wide variety of fresh bread and pastries at convenient locations. — Develop a highly trained workforce with low employee turnover. — Include suppliers in seasonal planning and customer feedback. — Expand in the region with new shops. — Market to supermarket chains. — Comply with all applicable regulations and customer requirements. — Increase sales by 50 % in two years. — Reduce costs by 10 % without affecting quality. [Back to main text.] A.1.3.2 Processes Jim the Baker decides to have the following main processes in his bakery: — Marketing, — Planning, — Baking, — Selling, — Delivering, and — After sales support.
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To ensure that all these processes function well and are adequately interrelated, Jim needs to manage them. In order to do that, for example, in the case of the baking process, Jim first looks at the main inputs, activities and outputs, as shown in Figure A.1.
Figure A.1: Jim’s baking process Then, he considers the various baking stages and decides where he needs detailed work instructions or other internal controls: — Purchasing raw materials and supplies, — Storing raw materials, — Mixing materials as per recipes, — Baking, and — Packaging for delivery. This gives Jim an understanding of all his main processes and their interrelations, as shown in Figure A.2.
Figure A.2: Jim’s main processes [Back to main text.]
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A.1.3.3 Organizational structure and resources It is important for Jim to have a clear understanding of the capabilities and assets of his bakery, and the total range of resources, including people, that are available to him. Jim has the following people in his organizational structure (see Figure A.3): — Jim is the owner and general manager. He is in charge of making the major decisions, coordination, communication, marketing, sales, as well as production and people management. — The baker is in charge of the bread and pastry production. — The shop assistant is in charge of selling the products in the bakery. — The driver is in charge of the delivery of products to the customers. — The administration assistant is in charge of supply planning and accounting.
Figure A.3: Jim’s organization Jim’s additional resources include: — Baking material stock, such as flour, yeast, chocolate, butter, spices, and eggs. — Recipes and instructions for machine handling and baking. — Bakery with baking equipment, shop with displays and shelves, and the delivery van. — Bank account with money to operate the bakery and for contingencies. [Back to main text.]
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A.1.3.4 Performance feedback Jim currently asks his shop assistants and the driver about customer feedback on a daily basis. He also checks inventory and talks to his supermarket customers regarding their preferred breads and pastries delivered from his bakery. He started to track the time for the delivery by asking the driver to record it. [Back to main text.]
A.1.4 Understanding the relationships of management system components A.1.4.1 Understanding the systems approach Jim the Baker recognizes that, as his business is growing significantly, he needs more formal arrangements than he originally planned. When he had only one employee working for him, the weekly planning and the daily arrangement of who would do what was easy and almost automatic. Now that he has four employees working in different ‘departments’ (the bakery, the shop, and the delivery), he has to consider a more formalized way of planning activities and division of work. Jim’s overview and control of activities have also become more complex and he gradually sees the benefits of developing documents, such as flowcharts and operating checklists. Jim sees the benefits of managing his business in a more systematic way and gradually he becomes a ‘managing baker’. In Figure A.4, Jim’s adds his management activities, such as planning and scheduling, to his day‐to‐day bakery process.
Figure A.4: The bakery process He goes further and develops flowcharts for his sub‐processes to better understand the relationships of tasks, interested parties and risks. For example, Jim looks at the delivery process in Figure A.5.
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Figure A.5: The delivery process [Back to main text.] A.1.4.2 Establishing a systems approach Now Jim wants to have a complete picture of his bakery business, including the establishment and relationships of the objectives, organizational structure and the resources needed, and the organizational processes, shown in Figure A.6.
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Figure A.6: Jim’s management system Figure A.7 shows how Jim related the activities and resources in his delivery process to the other components of his management system, in this case objectives and the corresponding performance indicators.
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Figure A.7: Jim’s systems approach for the delivery [Back to main text.]
A.2.1 Purpose and objectives of management system standards Jim has been using his management system to show conformity with food safety regulations from the local authority. Recently, a major supermarket customer has included a requirement for ISO 9001 certification. Although Jim understands his management system, he now needs to understand how it relates to a formal management system standard. To be ahead of competition, Jim decides to also become certified to the ISO 14001 environmental and ISO 22000 food safety standards, and to add the ISO 45001 occupational health and safety management system standard later. In addition, he identified ISO 50001 energy and ISO 55001 asset management system standards for possible future implementation, due to increasing energy costs for his food preparation and delivery, as well as efficient use of his ovens and other bakery equipment. His first thoughts were that he would eventually need five or six independent systems, one each for quality, food safety, environment, health, energy and assets. He fears this would complicate his business. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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A.2.2 Uses and needs for management system standards Jim examines the four standards he needs. He sees that they cover important aspects of running his business and that they relate to his current management system. Now he must determine if he has missed any issues and decide on an efficient way of including their requirements into his system. To do that, he decides to implement the most urgently required standard right away, which is ISO 9001. [Back to main text.]
A.2.3 Application of management system standard requirements A.2.3.1 Relationships of management system standard requirements to the organization’s management system Jim linked his business activities to the management system standard, as illustrated in Figure A.8.
Figure A.8: Linkages of Jim’s management system with ISO 9001: 2015 [Back to main text.]
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A.2.3.2 Implementation of management system standard requirements Jim now determines the requirements in ISO 9001:2015 by highlighting all sentences with “shall” and then searches for existing objectives, processes and resources in his management system to incorporate these requirements. For example, he already knows his “interested parties” and their “needs and expectations” (ISO 9001:2015, 4.2), has a list of his “quality objectives” (6.2.1) and an illustration of his bakery processes (8.5). However, he needs to develop a quality policy (5.2) and plan and perform audits (9.2). Ultimately, he connects and implements all the missing requirements in his management system. Subsequently, he applies for and obtains ISO 9001 certification. [Back to main text.]
A.3.1 Lead the integration Jim is the company executive. He needs to provide direction for the integration of the requirements of management system standards into the management system of his bakery. Therefore, Jim: — Identifies the need for integration; — Adapts the company policy to include integration; — Determines the strategic initiatives needed for integration; — Sets the objectives for integration; — Determines the opportunities and risks of integration; — Communicates the decision to integrate. [Back to main text.]
A.3.2 Determine the scope of the integration Jim is now certified to ISO 9001. He already decided to implement ISO 14001 for environmental management systems due to interested parties’ recommendations and marketing reasons, as well as ISO 22000 for food safety management systems due to regulatory requirements and operational demands. He identifies ISO 45001 for occupational health and safety management systems as a useful standard to implement, but decides to delay this for the next integration project. Subsequently, Jim decides to: — Implement ISO 14001 followed by ISO 22000. — Apply the requirements of ISO 14001 and ISO 22000 throughout the bakery, including all relevant activities (e.g., planning, procurement, baking, storing, selling, and delivery). — Determine the impact integration will have on resources (e.g., costs, workload, and equipment), processes (e.g., additional or streamlined activities) and objectives (e.g., policies) in the bakery. — Fully integrate the requirements in all relevant components of his management system. — Jim then communicates these decisions and related effects on the business to all his staff. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) [Back to main text.] ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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A.3.3 Plan the integration Now, Jim needs a plan to guide integration. He reflects on the following nine major parts of the plan: — He himself will lead this project. — The team members will be all his staff. — He will use internal resources only. — All employees and the whole bakery will be affected. — He decides who will do what. — The highest risk is resources. — The team will start integration next week. — The integration project will be completed in six months. — He will conduct weekly progress meetings with all staff. [Back to main text.]
A.3.4 Connect the management system standard requirements and the organization’s management system A.3.4.1 Structure the management system Jim the Baker structures his management system in a simple manner. Figure A.9 depicts the main components of his management system and their relationships from his point of view. He explains this structure to all his staff, using now the standardized terminology.
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Figure A.9: Jim’s structured management system [Back to main text.] A.3.4.2 Structure management system standard requirements Since Jim’s management system already fulfills the requirements of ISO 9001, he understands the general structure and content of ISO management system standards and the related requirements. Now, Jim needs to identify and structure the requirements of ISO 14001 and ISO 22000. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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First, Jim reads both standards and identifies a number of requirements that have commonalities (e.g., in 7.5 “Documented Information” and 10.3 “Continual Improvement”). For most of these, he chooses to apply the most comprehensive requirements as the basis of the common process established in the bakery (e.g., 5.2 “Policy” and 9.3 “Management Review”). He recognizes some requirements are specific to environment and food safety (e.g., 8.2 “Emergency Preparedness and Response” and “HACCP”, respectively). These also need to be addressed with processes and procedures in his management system. [Back to main text.] A.3.4.3 Map management system standard requirements against the management system Jim the Baker needs to study how the requirements of ISO 9001, ISO 14001 and ISO 22000 relate to his management system. He uses a matrix to list the activities in all his processes (e.g., purchasing, baking, selling and delivery) and the clauses of the three management system standards containing the requirements. In the matrix, Jim then denotes whether or not the requirements impact the activity. He starts with the process of baking bread and illustrates how it is impacted by the requirements of ISO 14001 and ISO 9001. This is an excerpt from the full mapping study that Jim did. The first matrix (Figure A.10) illustrates the setup to start the analysis. The second matrix (Figure A.11) shows the impact of the requirements on the process.
Competence
Aspects
Operational control
Control of Documented Information
ISO 9001 8.5
Output
ISO 9001 7.5.3
Non-conforming
Production and service provision
↓Activity / requirements →
Control of Documented Information
The vertical column on the left represents the major activities of the bread baking process. The horizontal row on top represents the clauses containing the standards’ requirements that Jim the Baker determined have an important impact on the bread‐making process.
ISO 9001 ISO 14001 ISO 14001 ISO 14001 ISO 14001 8.7 7.5.3 8.1 6.1.2 7.2
Providing ingredients Mixing Fermentation Dough preparation Baking
Figure A.10: Jim’s matrix example (mapping setup) For example, when analyzing the requirements from clause 7.5.3 “Control of documented information” of ISO 9001 and ISO 14001, Jim realized that they are almost identical, except that there is an additional ISO 9001 requirement in the last sentence before the note about “unintended alternations”. He decides for practical reasons to take this requirement to cover both quality and environment. Therefore, he merges the columns related to clause 7.5.3 in the second matrix. However, with respect to the requirements on competence from clause 7.2, Jim decides to leave separate columns, since he considers them to be sufficiently different in the two standards. Licensed to AMERICAN TRUST REGISTER, S.C. / OSCAR MANUEL LOPEZ BATISTA ([email protected]) ISO Store Order: OP-360372 / Downloaded: 2019-04-08 Single user licence only, copying and networking prohibited.
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↓Activity / requirements →
ISO 9001 / ISO 9001 14001 8.5 7.5.3
Competence
Competence
Aspects
Operational control
Output
Nonconforming
Production and service provision
Control of Documented Information
The Integrated Use of Management System Standards (IUMSS)
ISO 9001 ISO 14001 ISO 14001 ISO 9001 ISO 14001 8.7 8.1 6.1.2 7.2 7.2
Providing ingredients
Mixing
×
×
Fermentation
×
Dough preparation
Baking
Legend: Requirement impacts the process × Requirement does not impact the process
Figure A.11: Jim’s matrix example (mapping completed) [Back to main text.]
A.3.5 Incorporate the management system standard requirements into the organization’s management system A.3.5.1 Identify and analyze gaps Now, Jim analyzes the gaps, using colour coding in Figure A.12. The matrix below is an excerpt from the full gap analysis that Jim did, representing Jim’s opinion regarding the extent of fulfilment of ISO 9001 and ISO 14001 requirements.
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↓Activity / requirements →
ISO 9001 / ISO 9001 14001 8.5 7.5.3
Competence
Competence
Aspects
Operational control
Output
Nonconforming
Production and service provision
Control of Documented Information
The Integrated Use of Management System Standards (IUMSS)
ISO 9001 ISO 14001 ISO 14001 ISO 9001 ISO 14001 8.7 8.1 6.1.2 7.2 7.2
Providing ingredients
Mixing
×
×
Fermentation
×
Dough preparation
Baking
Legend: Requirement impacts the process × Requirement does not impact the process
Figure A.12: Jim’s matrix example (gap analysis) Examples of the reasoning behind Jim’s usage of colour coding: — Green (ISO 9001, 8.5 – Baking): “I have attached to the oven a list of bread types and the corresponding settings of temperatures and times to make a perfect bread and the oven is regularly serviced.” — Green (ISO 14001, 7.5 – Mixing): “I have a process for controlling all documents related to my quality management system that I already implemented. I will just use the same process for environmental documents.” — Yellow (ISO 9001, 7.5 – Providing ingredients): “I changed the recipe for a new type of bread, but did not document it. I know I must do it, but simply forgot it. I have all the documents for the other types of bread.” — Yellow (ISO 9001, 8.7 – Dough preparation): “I recognized that it was not clear in the current instruction that I am the only one that should make a decision on what to do with the dough that was found to be unacceptable (e.g., missing salt).” — Red (ISO 14001, 6.1.2 – Fermentation and Baking): “I have not yet thought of environmental aspects of fermentation and baking. I need to deal with this immediately.” — White (ISO 14001, 6.1.2 – Mixing and ISO 14001, 7.2 – Fermentation): “I decided that these requirements are not applicable here. Because we do mixing by hand, no extra energy is needed. For fermentation, we do not need to train our bakers specifically regarding environment, but we do it with respect to quality.” [Back to main text.]
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A.3.5.2 Close the gaps Jim the Baker now needs to close the gaps identified by his gap analysis. Jim has an idea of what he needs to do to close the gaps as he prepares for further implementation. This is a real bonus to Jim because he realizes he is improving his overall business management at the same time. Jim’s corrective actions will come in handy now. These are some important steps Jim considers: A. Discuss the results of the gap analysis with the employees. Does everyone agree? B. Prioritize the results based on relevance to Jim’s business.
C.
1.
How many gaps are there and where do they exist?
2.
Do they affect multiple processes, resources, or objectives?
3.
Are there gaps to the requirements of multiple management system standards?
Determine the necessary actions to close the gaps and assign each to a process owner.
D. Implement and document the actions taken by expanding the existing matrices. E.
Review all management system components to: 1.
Determine whether or not the implementation was effective.
2.
Check that there are no adverse effects on other components and integration.
3.
Look for redundancies, synergies and further integration possibilities.
4.
If problems are found, return to step C above.
For example, the “Providing ingredients” activity was identified as only partially compliant with the ISO 9001:2015 and ISO 14001:2015 clause 7.5.3 requirements. In order to address the gap regarding not documenting a recipe change, Jim added the activity of recording any changes to his process. By doing this, Jim also realized that he could address other related requirements of ISO 9001:2015, for instance “planning of changes” (6.3) and “human error” (8.5.1.g). Jim also found that he did not define the retention time for records (as per the requirement given in ISO 9001:2015, 7.5.3.2.g and ISO 14001:2015, 7.5.3) Therefore, he specified the retention period that satisfied his business needs and both management system standards, as well as any regulatory requirements. Jim indicated that he closed the gap from his point of view in the matrix below (Figure A.13) by writing “OK” in the corresponding cell.
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ISO 9001 / ISO 9001 14001 8.5 7.5.3
↓Activity / requirements → Providing ingredients
Competence
Competence
Aspects
Operational control
Output
Nonconforming
Production and service provision
Control of Documented Information
The Integrated Use of Management System Standards (IUMSS)
ISO 9001 ISO 14001 ISO 14001 ISO 9001 ISO 14001 8.7 8.1 6.1.2 7.2 7.2
OK
OK
OK
OK
OK
Figure A.13: Jim’s matrix example (gap closure) In addition, Jim closed the other gaps, including the ones between the dough preparation activity and ISO 9001, 8.7, by adding the point that he was responsible for dealing with unacceptable dough, and between the fermentation and baking activities and ISO 14001, 6.1.2, by incorporating the corresponding environmental aspects, such as the aspects related to water and waste, in his existing documentation. [Back to main text.] A.3.5.3 Confirm gap closure Jim verified compliance with the ISO 9001 and ISO 14001 requirements. For example, he checked that he is now recording recipe changes, determined that records were being retained pursuant to the retention period and that obsolete records were being removed. Jim also realized that his bakers are asking him regularly about making decisions regarding what to do with nonconforming dough, as well as waste.
ISO 9001 / ISO 9001 14001 8.5 7.5.3
↓Activity / requirements →
Competence
Competence
Aspects
Operational control
Output
Nonconforming
Production and service provision
Control of Documented Information
The matrix below (Figure A.14) illustrates the results of Jim’s confirmation of gap closure for the “Formulating ingredients” activity.
ISO 9001 ISO 14001 ISO 14001 ISO 9001 ISO 14001 8.7 8.1 6.1.2 7.2 7.2
Providing ingredients
Figure A.14: Jim’s matrix example (gap closure verification) [Back to main text.]
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A.3.6 Maintain and improve integration Jim’s plan includes monitoring and improving the integrated management system. He needs to have a process in place to ensure the system is effective and continues to add value to his business. — Are all of the gaps closed? — Were the closures successful? — Are there opportunities to make the integration better? — What additional activities do I need to monitor and improve the system? — Do I need special training for my personnel? [Back to main text.]
A.3.7 Apply lessons learned in the organization Jim faced some problems during the integration process. He realized some things could have been done better. He would like to know how others felt. Perhaps they have some ideas on how to improve the integration and the management system. [Back to main text.]
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Annex B – Graphical Representations of Survey Responses The survey was distributed to a diverse range of companies internationally. There was no scientific method used for the distribution and collection of survey responses. This annex details graphical representations of answers to the survey responses that were able to be graphically depicted. The graphs and charts show the responses for how the companies are thinking and acting within different industries and to the organization context to operate a management system along with other initiatives. They are used as illustrative aids only for points made in this Handbook.
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